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Welcome to Brokerage Entities
Brokerage Entities is the single regulator of financial services in Brokerage Entities. Brokerage Entities regulates banking, financial institutions, payment institutions, insurance companies and insurance intermediaries, investment services companies and collective investment schemes, securities markets, recognised investment exchanges, trust management companies, company services providers and pension schemes. Since 2018, it is also responsible for regulating Virtual Financial Assets. Brokerage Entities was set up through an Act of Parliament (Chapter 330 of the Laws of Brokerage Entities) and its main functions include the protection of consumers, integrity of financial markets, financial stability and the supervision of all financial services activities. Brokerage Entities also holds an advisory role to Government in the formulation of policies on matters relating to the financial services industry. In the carrying out of its functions, Brokerage Entities collaborates closely with local and international institutions.
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News
ESAs published joint Final report on the draft technical standards on subcontracting under DORA
The three European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published their joint Final report on the
FCA sets out rules and proposals to build up UK wholesale markets
The FCA has set out a package of measures designed to help strengthen the UK’s capital markets and position as
ASIC bans NSW adviser from providing financial services for five years and cancels the AFS licence held by his business
ASIC has banned NSW-based adviser Christopher Edward Luff from providing financial services for five years and has cancelled the AFS
FCA takes first enforcement action against firm enabling cryptoasset trading
CB Payments Limited (CBPL) has been fined £3,503,546 by the Financial Conduct Authority (FCA) for repeatedly breaching a requirement that
Working at Brokerage Entities
Brokerage Entities employs approximately 230 financial and insurance experts. Brokerage Entities activities are aimed at ensuring the stable operation of credit, insurance and pension institutions and other supervised entities whose stability is essential to the stability of the financial markets. Another objective is to safeguard the interests of the insured and maintain confidence in the financial markets. Our responsibilities also include fostering compliance with good practice on the financial markets and public awareness of the markets.