The companies, products and regulatory developments shaping the broker industry.
Firms reported 2,043 complaints in the combined category for H1 2026, up from 1,331 in H2 2025. The published grouping does not reveal which product, firm or problem drove the increase.
The FCA’s client-assets rules distinguish written notice about cash interest from prior consent to securities lending. Both sit alongside Consumer Duty conditions, with specific collateral and record-keeping safeguards for lending.
The review found generally resilient UK trading infrastructure alongside gaps in dependency mapping, supplier testing and exit plans. It links recovery to the complete business service brokers rely on.
Market Watch 86 identifies weak thresholds, restrictive alert-closure decisions and gaps in oversight. The FCA also reports better suspicious-transaction reports after remedial action.
The FCA’s settlement with Huobi Global S.A. restricts unlawful UK financial promotions through undertakings lasting until 21 October 2031. The court order and reported service restrictions do not establish how much UK customer property remained or when every withdrawal was completed.
A reconciliation of two FCA publications separates a 5.7% fall in firms from incomplete entry-and-exit counts. The regulator reports stable adviser numbers, making consolidation a different question from lost advice capacity.
Reconstructing the FCA's 2024 and 2025 tables shows that equities and commodities drove the rise in manipulation reports. Falling insider-dealing submissions explain the lower overall total.
The UK regulator's 11 November review of a venue sample identifies weaknesses in shared-service accountability, third-party mapping and incident response. It does not impose new requirements through the review itself.
A reconstruction of the NYSE's 2023 opening failure shows why the FCA's new resilience review asks trading venues to verify delivered services, dependencies and recovery—not just system availability.
The timeline from June asset restrictions and interim managers to special administration and a later AML investigation raises unresolved questions about safeguarding and customer recovery, without establishing criminal guilt.
The FCA’s September commitments decision shows how alleged information-sharing risks can be addressed through agreed conduct changes, training and an ex gratia £1m payment without an infringement verdict or admission.
Comparable quarterly tables show 112 new CFD cases against 61 a year earlier, an increase of 51. The absence of an active-customer denominator and the separate cohort behind uphold rates limit what that rise establishes.
The FCA’s account connects four false identities, three phone numbers, forged documents and a shareholder’s trading incentive. Touchstone’s Canadian incorporation also changes the takeover-law context.
Three FCA settlements involving separate WealthTek financial-services gatekeepers identify £57,633,775 in customer-directed voluntary payments, which must not be confused with fines or completed individual distributions.
Four linked names did not use the full Interactive Brokers brand. The FCA warnings concern impersonators with no connection to the genuine firm; names, domains and contact details need separate checks.