FCA: Final Notice: Infinox Capital Limited
The firm has been fined £99,200 for failing to submit 46,053 transaction reports for single-stock CFD trades executed through one of its corporate brokerage accounts. Although the firm identified its failure to submit these transaction reports following a third-party review, it did not proactively report the breach to FCA, which independently identified this discrepancy in transaction data submitted. Although CA has fined a number of firms for transaction reporting failures, this is the first enforcement action against a firm for a breach of transaction reporting requirements since they became law under UK MiFIR.
Last updated · 13 Mar 2026
Regulatory News - Financial Services & Regulation
See all Regulatory News - Financial Services & RegulationBoE: Cross-Market Operational Resilience Group – SIMEX26
BoE has reported that CMORG completed its biennial simulation exercise on a global cloud services disruption on 8 October 2026. BoE states that it now expects firms to take action based on the exercise to further strengthen their resilience and ability to respond to severe operational and cyber scenarios.
FCA: Listings data
FCA has published data which helps it understand how the UK market is reacting to changes made through the Listing and Prospectus reforms. It will be updated quarterly to reflect latest developments. Over time, FCA intends to add new categories and share research to give a fuller picture of market developments.
For more information
FCA: Annual Public Meeting 2026
FCA has published a transcript of the meeting which took place on 6 November 2026.
For more information
FCA/FOS: Appointment
The FCA Board has appointed Liam Coleman as FOS chair, with the approval of HMT.
FSB: Thematic review on public sector backstop funding mechanisms
FSB’s peer review looks at the implementation of its policies related to the establishment of public sector backstop funding mechanisms to provide temporary funding to banks in resolution. The review found that in most jurisdictions there remains a material gap that weakens authorities’ ability to resolve systemic banks. The review also sets out good practices, lessons and shared challenges.
For more information