FCA
United Kingdom | 23 May 14
Financial adviser gets four years behind bars
A financial adviser who stole £130,000 in savings from vulnerable pensioners and widows has been jailed for three years.
Tax & Regulation | 2 May 14
Towergate could face fine over FCA investigation
Towergate could be fined by the Financial Conduct Authority (FCA) over the potential mis-selling of two of its products, following discussions with the regulatory body.
Tax & Regulation | 1 May 14
Ex-UBS trader banned by FCA over trading losses
The FCA has banned an ex-UBS trader from performing any function in relation to any regulated activity for his hand in unauthorised activity related to $2.3bn in trading losses by another trader.
United Kingdom | 29 Apr 14
fca issues warning over serious
The FCA has issued a further warning over unsuitable SIPP advice after an investigation into the conduct of financial advisers found serious and ongoing failings.
Tax & Regulation | 28 Apr 14
invesco perpetual fined 186m by fca
Invesco Perpetual has been fined nearly £19m by the Financial Conduct Authority for “exposing investors to greater levels of risk than they had led to believe”.