Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

Executive FCA Board member and Director of Enforcement and Financial Crime

Executive FCA Board member and Director of Enforcement and Financial CrimeThe Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in relation to the protection of client More...

by EU Etrading | Published 3 years ago
Patrick Spens, Head of Market Monitoring, British Bankers' Association
By EU Etrading On Wednesday, October 8th, 2014
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Surveillance: The FCAs expectations and toolkits

Patrick Spens, Head of Market Monitoring, British Bankers’ AssociationGood afternoon and let me start by thanking the British Bankers’ Association (BBA) for hosting today’s conference on market abuse and More...

Andrew Bailey, Deputy Governor of the Bank of England
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Bank of England announces proposals to strengthen the financial system through structural reform

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By EU Etrading On Wednesday, October 1st, 2014
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ESMA consults on draft standards for the clearing of foreign-exchange non-deliverable forwards

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Steven Maijoor, Chairman, European Securities and Markets Authority
By EU Etrading On Wednesday, October 1st, 2014
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ESMA defines products, counterparties and starting dates for the clearing of interest rate swaps

Steven Maijoor, Chairman, European Securities and Markets AuthorityThe European Securities and Markets Authority (ESMA) has today issued final draft regulatory technical standards (RTS) for the central clearing More...

Steven Maijoor, Chairman, European Securities and Markets Authority
By EU Etrading On Wednesday, October 1st, 2014
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ESMA consults on draft guidelines clarifying the definition of derivatives under MiFID

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Greg Medcraft, IOSCO, Chairman
By EU Etrading On Tuesday, September 30th, 2014
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IOSCO Reviews Implementation of Significant Foreign Exchange Benchmark

Greg Medcraft IOSCO ChairmanIOSCO’s Review of the Implementation of IOSCO’s Principles for Financial Benchmarks by WM in respect of the WM/Reuters 4.p.m Closing Spot Rate was published 30 September, as part More...

Marco Dunand, Mercuria CEO
By EU Etrading On Monday, September 22nd, 2014
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Mercuria Announces UK Financial Conduct Authority Authorization

Mercuria announced 22 September that Mercuria Europe Trading Limited (Registered in England) is now authorized and regulated by the Financial Conduct Authority (FCA) under the Financial Services and Markets Act More...

Mark Carney, Governor of the Bank of England
By EU Etrading On Monday, September 22nd, 2014
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FSB publishes feasibility study on aggregation of OTC derivatives trade repository data

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FCA Lobby
By EU Etrading On Sunday, September 21st, 2014
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Poll: How do you price research under the FCA commission dealing rules?

This poll isn’t specific to Europe and has global implications. The UK’s regulator the FCA is attempting to ensure that buy-sides are spending client commission on research and corporate access reasonably More...

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