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 allHMT: Record of FCA performance review meeting
HMT has now published a note of the meeting which took place on 2 February 2026 attended by Lucy Rigby and Nikhil Rathi.
PRA: Speech by David Bailey: Building a banking regime for the future
In this speech of 28 April 2026, David Bailey discusses PRA’s current pipeline of reforms related to the capital and liquidity of banks and building societies
HMT: Record of PRA performance review meeting
HMT has now published a note of the meeting which took place on 20 January 2026 attended by Lucy Rigby and Sam Woods.
FCA: Complaints data
FCA has published H2 2025 complaints data, which saw a 0.9% increase from HI. With regard to product groups, insurance and pure protection complaints increased by 10.1% compared to H1, whilst there were falls in complaints relating to banking/credit cards, decumulation/pensions, home finance, and investments.
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FCA: ESG ratings reporting
FCA is inviting ESG rating providers to join a pilot to inform future regulatory reporting once the regulatory regime is live. Responses are required by 13 May 2026.