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Four Guilty In Relation To £1.4 Million Investment Scheme

04/12/2017(0)
In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment ... Read More
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Bond Trader fined for market abuse

28/11/2017(0)
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging ... Read More
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Supervisory Authorities Warn: Be Cautious

02/11/2017(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Belgium(Financial Services and Markets Authority – FSMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Jersey (Jersey ... Read More
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FCA finalises revised Payment Services Directive (PSD2) requirements

19/09/2017(0)
The Financial Conduct Authority (FCA) has today published its approach to implementing the revised Payment Services Directive (PSD2). PSD2 is an EU Directive which sets requirements for firms that ... Read More
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UK’s financial regulator warns for unauthorised and clone firms

16/08/2017(0)
The Financial Conduct Authority (FCA), the UK’s financial regulator regulator for 56,000 financial services firms and financial markets in the UK and the prudential regulator for over 18,000 of ... Read More
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Upper Tribunal upholds the FCA’s decision to fine and ban former CEO of adviser network

10/08/2017(0)
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from ... Read More
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FCA published the findings from the 2017 survey of FCA-regulated firms

04/08/2017(0)
The Financial Conduct Authority (FCA) and the FCA Practitioner Panel have published the findings from their 2017 survey of FCA-regulated firms. The survey gives a view across the financial ... Read More
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FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms

28/07/2017(0)
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. The Financial Conduct Authority ... Read More
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FCA UK sets out scope of Investment Platforms Market Study

17/07/2017(0)
The Financial Conduct Authority (FCA) has today published the Terms of Reference for the Investment Platforms Market Study, which sets out the scope and topics that will be covered. ... Read More
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Why free trade and open markets in financial services matter; Andrew Bailey, FCA Chief Executive

11/07/2017(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has released a speech by Andrew Bailey, Chief Executive of the ... Read More
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