News results for Financial Conduct Authority

Compliance
6 January 2014

UK Watchdog Warns Of Fraudsters

The UK Financial Conduct Authority has once again had to issue several warnings on clone firms and...

Legal
6 January 2014

Investment Firm To Wind Up Following FCA Notice

London-based investment manager Hartmann Capital is set to wind up following a supervisory notice...

Legal
18 December 2013

FCA Bans Former Mizuho Derivatives Trader

The Financial Conduct Authority has won its case to ban a former Mizuho derivatives trader from...

Compliance
13 December 2013

FCA Makes Insider Trading Arrest, Warns Of Several Fraudulent Firms

The Financial Conduct Authority and the North Yorkshire and West Yorkshire Police, have arrested a...

Legal
12 December 2013

Lloyds Fined Record £28 Million Over Sales Incentives

Lloyds Banking Group, the partly UK state-owned group, has been fined a record £28 million ($45.8...

Legal
11 December 2013

FCA Closes Down Advice Firm After Director Fails To Invest Client Money

The Financial Conduct Authority has removed permissions from Cheshire-based advice firm SK8 after...

Compliance
9 December 2013

The Clone Invasion Is Upon Us - FCA Warns Of Several Fraud Firms

The UK watchdog, the Financial Conduct Authority, has issued several warnings of so-called clone...

Compliance
9 December 2013

Banks' Redress For Mis-sold Swaps Surges To £81 Million

The amount paid in compensation by banks having mis-sold interest rate swaps has skyrocketed and...

People Moves
2 December 2013

Top Asset Management Supervisor Leaves UK Regulator For Goldman Sachs

The head of asset management supervision at the Financial Conduct Authority, Ed Harley, has left...

Compliance
29 November 2013

London IFA Loses FCA Permissions, Forced Into Liquidation

The independent financial advisor Berkeley Consultants UK Limited has had its permissions stripped...

Comment & Analysis results for Financial Conduct Authority