Table 2. Open in new tab Regulatory... | Oxford Academic

Table 2.

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Regulatory actions against investment banks prior to special administration

No	Company	Regulatory Action?	Details of the FCA Action
1	MF Global	No
2	Pritchard	Yes	Regulated activities were terminated
3	WorldSpreads	Yes	Regulated activities were restricted
4	Fyshe	Yes	Regulated activities were terminated
5	City Equities	Yes	Regulated activities were restricted
6	Hartmann	Yes	Regulated activities were restricted
7	Alpari	No
8	LQD	Yes	Regulated activities were restricted
9	Boston	Yes	Regulated activities were suspended
10	Hume	Yes	Regulated activities were terminated
11	Maple	No
12	Avalon	No
13	European Pensions	Yes	Regulated activities were restricted
14	Solo	No
15	Strand	Yes	Regulated activities were terminated
16	Beaufort	Yes	Regulated activities were restricted
17	SVS	Yes	Regulated activities were restricted
18	AFX	Yes	Regulated activities were terminated
19	Reyker	Yes	Regulated activities were restricted

No	Company	Regulatory Action?	Details of the FCA Action
1	MF Global	No
2	Pritchard	Yes	Regulated activities were terminated
3	WorldSpreads	Yes	Regulated activities were restricted
4	Fyshe	Yes	Regulated activities were terminated
5	City Equities	Yes	Regulated activities were restricted
6	Hartmann	Yes	Regulated activities were restricted
7	Alpari	No
8	LQD	Yes	Regulated activities were restricted
9	Boston	Yes	Regulated activities were suspended
10	Hume	Yes	Regulated activities were terminated
11	Maple	No
12	Avalon	No
13	European Pensions	Yes	Regulated activities were restricted
14	Solo	No
15	Strand	Yes	Regulated activities were terminated
16	Beaufort	Yes	Regulated activities were restricted
17	SVS	Yes	Regulated activities were restricted
18	AFX	Yes	Regulated activities were terminated
19	Reyker	Yes	Regulated activities were restricted

Source: Companies House and Financial Conduct Authority (FCA).

Table 2.

Open in new tab

Regulatory actions against investment banks prior to special administration

No	Company	Regulatory Action?	Details of the FCA Action
1	MF Global	No
2	Pritchard	Yes	Regulated activities were terminated
3	WorldSpreads	Yes	Regulated activities were restricted
4	Fyshe	Yes	Regulated activities were terminated
5	City Equities	Yes	Regulated activities were restricted
6	Hartmann	Yes	Regulated activities were restricted
7	Alpari	No
8	LQD	Yes	Regulated activities were restricted
9	Boston	Yes	Regulated activities were suspended
10	Hume	Yes	Regulated activities were terminated
11	Maple	No
12	Avalon	No
13	European Pensions	Yes	Regulated activities were restricted
14	Solo	No
15	Strand	Yes	Regulated activities were terminated
16	Beaufort	Yes	Regulated activities were restricted
17	SVS	Yes	Regulated activities were restricted
18	AFX	Yes	Regulated activities were terminated
19	Reyker	Yes	Regulated activities were restricted

No	Company	Regulatory Action?	Details of the FCA Action
1	MF Global	No
2	Pritchard	Yes	Regulated activities were terminated
3	WorldSpreads	Yes	Regulated activities were restricted
4	Fyshe	Yes	Regulated activities were terminated
5	City Equities	Yes	Regulated activities were restricted
6	Hartmann	Yes	Regulated activities were restricted
7	Alpari	No
8	LQD	Yes	Regulated activities were restricted
9	Boston	Yes	Regulated activities were suspended
10	Hume	Yes	Regulated activities were terminated
11	Maple	No
12	Avalon	No
13	European Pensions	Yes	Regulated activities were restricted
14	Solo	No
15	Strand	Yes	Regulated activities were terminated
16	Beaufort	Yes	Regulated activities were restricted
17	SVS	Yes	Regulated activities were restricted
18	AFX	Yes	Regulated activities were terminated
19	Reyker	Yes	Regulated activities were restricted

Source: Companies House and Financial Conduct Authority (FCA).