FCA

Tax & Regulation | 31 Jan 14

State Street UK has been fined £22.9m by the FCA having been found to have deliberately charged clients substantial mark-ups on transactions on top off agreed fees and commission.

United Kingdom | 16 Jan 14

The FCA has issued its finalised guidance on inducements, taking on its three main causes for concern in the relationship between product providers and advisers.

United Kingdom | 2 Jan 14

Since its introduction in April last year the FCA has been incredibly stringent on fining firms and then telling the world about it as a lesson to others.

Europe | 2 Jan 14

Hartmann Capital, a London-based investment firm and discretionary accounts manager, the products of which have been sold by Europe-based financial advisers, is being wound up in the wake of a Financial Conduct Authority “supervisory notice” against it.

Technology | 19 Dec 13

Andrew Wilkins, one of two brothers who founded the Acordias investment platform company in 2010, is appealing a Financial Conduct Authority "senior role" ban and fine, relating to events at a company he was involved with prior to March 2010.