News results for Financial Conduct Authority

Legal
31 October 2014

FCA Fine Sesame £1.6 Million For "Pay-To-Play" Arrangements

The UK Financial Conduct Authority has fined financial advisor network Sesame £1.6 million for...

Banking Crisis
24 October 2014

FCA Seeks Ban For Former UK Advisor

The Financial Conduct Authority has decided to ban former financial advisor Paul Reynolds and fine...

Fund Management
16 October 2014

FCA Launches New Investment Fraud Campaign

The Financial Conduct Authority (FCA) has launched a national campaign to warn people about...

Legal
10 October 2014

UK Financial Regulator Bans Two Former Directors Of Wealth Management, Stockbroking Firm

The Financial Conduct Authority has fined and banned two former directors of stockbroking and...

Legal
25 September 2014

UK Regulator Warns Advisors, Investors Over EEA Life Settlements Mis-Selling

The UK Financial Conduct Authority has warned that some investors in the EEA Life Settlements fund...

Uncategorised
23 September 2014

Barclays Hit By £38 Million Fine For Client Asset Failings

Barclays has been fined a record £37.7 million($61.8 million) by the UK Financial Conduct...

Legal
15 September 2014

FCA Secures Injunction Against Berenberg Clone Firm

The UK’s Financial Conduct Authority has launched civil proceeding against a clone firm of...

Legal
29 August 2014

Deutsche Bank Fined £4.7 Million For Reporting Errors

Deutsche Bank AG London Branch has been fined £4.71 million by the UK’s Financial Conduct...

Compliance
14 August 2014

UK Regulator Not Entirely Happy About Firms' Observance Of Advertising Rules

Promotions for financial products are still falling short of rules to protect consumers and firms...

Surveys
11 August 2014

FCA Clamps Down On Market Abuse; Fines Top £340 Million

The Financial Conduct Authority fined firms and individuals a total of £346 million ($571 million)...

Comment & Analysis results for Financial Conduct Authority