News results for Financial Conduct Authority

Legal
18 November 2014

UK Regulator Fines Chase de Vere For Failures Over Keydata Products

The Financial Conduct Authority has fined Chase de Vere Independent Financial Advisers £560,000...

Compliance
12 November 2014

UK, Swiss, US Regulators Hit Banks Over Forex Rigging; BoE Fires Chief Currency Dealer

UK, US and Swiss authorities have punished banks over rigging the foreign exchange market, adding...

Uncategorised
10 November 2014

Ex-Moore Capital Trader Pleads Guilty To Insider Dealing

A former senior execution trader at Moore Capital Management has become the third individual to...

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...

Comment & Analysis results for Financial Conduct Authority