FCA
Guidance guarantee levy unfair on advisers
A proposed levy to pay for the UKs guidance guarantee would be unfair on advisers and consumers, according to IFA trade body APFA.
United Kingdom | 16 Sep 14
ExSJP partner faces 300k fine and industry ban
An ex-partner at St. Jamess Place faces an industry ban and a £300,000 fine after his clients lost millions through investments into companies that he controlled.
United Kingdom | 29 Aug 14
FCA fines and bans broker over dishonest UCIS
The Financial Conduct Authority has fined and banned an IFA for life after he was found to have sold unregulated funds to retail investors.
Tax & Regulation | 11 Aug 14
FCA sees cross-border rise
Requests to the UK’s Financial Conduct Authority from international regulators increased last year as a result of more cross-border investigations.
United Kingdom | 7 Aug 14
Heavy fines reveal FCA clampdown on market abuse
Market abuse was one of the Financial Conduct Authoritys most handled offences in 2013, with the regulator issuing over £340m worth of fines for the crime.