FCA
UK regulator bans marketing of speculative mini-bonds
As London Capital & Finance victims see move as the FCA ‘admitting we were mis-sold’
Ex-Beaufort Securities investment manager pleads guilty
To conspiracy to commit securities fraud and violating Fatca
Investment firm fined £1.9m over ‘closet tracker’ funds
UK regulator said situation revealed ‘serious weaknesses’ in the company’s systems and controls
Gender diversity ‘remarkably unchanged’ since 2005
As UK watchdog finds women make up just around 17% of regulated professionals
UK watchdog proposes adviser charge for invoices
It is ‘unreasonable for other fee-payers’ to continue to bear rising costs