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Financial Conduct Authority

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Former Tesco executives set to appear in court on fraud charges

04/09/2017(0)
Three former Tesco executives will appear in court, charged with fraud relating to the supermarket’s 2014 accounting scandal. The three men were charged by the Serious Fraud Office (SFO) ... 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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Chairman of the Financial Conduct Authority UK confirms plan to leave the FCA

20/06/2017(0)
John Griffith-Jones, Chairman of the Financial Conduct Authority (FCA) and the Payment Systems Regulator (PSR), has confirmed that he will leave both organisations at the end of his term ... Read More
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FCA secures eight confiscation orders totalling almost £2.2 million

24/05/2017(0)
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. The ... Read More
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Beware of unauthorised providers of financial services

08/05/2017(0)
The financial regulatory authorities of UK (Financial Conduct Authority – FCA) and Honk Kong (Securities and Futures Commission – SFC) have issued warnings to inform investors and public about ... Read More
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