FCA

Tax & Regulation | 1 May 14

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

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 has been fined nearly £19m by the Financial Conduct Authority for “exposing investors to greater levels of risk than they had led to believe”.

People Moves | 23 Apr 14

The UK's Financial Conduct Authority has appointed two senior advisers, one of them a former managing director at Lehman Brothers.

United Kingdom | 17 Apr 14

The Financial Conduct Authority (FCA) has imposed an industry ban on two financial advisers after they lost almost two thousand customers money by convincing them to invest in high risk, unregulated products.