Ban

United Kingdom | 30 Nov 16

The director of a bankrupt UK-based IFA firm, who also ran a trading room, has been disqualified for eight years for failing to account for more than £4m ($4.9m, €4.6m) of client’s money, the Insolvency Service has revealed.

Tax & Regulation | 22 Nov 16

Guernsey based fund administration group Marlborough Trust Company Ltd (MTCL) has been fined and its directors banned as part of the ongoing fallout from the Arch Cru investment failure.

Asia | 31 Oct 16

Hong Kong’s Securities and Futures Commission (SFC) has cancelled the licences of Richmond Asset Management and its owner Graham Frank Bibby and banned him from re-entering the industry for 10 years.

Asia | 7 Sep 16

Hong Kong’s Securities and Futures Commission (SFC) has banned two former HSBC employees from re-entering the financial services industry for life after they were convicted of fraud.

Best Practice | 1 Sep 16

The Financial Conduct Authority (FCA) has banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 ($143,419, €128,657) for repeatedly lying about her qualification status.