FCA
United Kingdom | 2 Jan 14
fca fines reach close to 500m in 2013
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.
hartmann capital winding up in wake
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
acordias founder and ex director wilkins
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.
Investment | 26 Nov 13
fca fines sei nearly for client money failings
SEI Investments has been fined £900,200 by the Financial Conduct Authority for client money breaches.
United Kingdom | 21 Nov 13
the fcas 100k social media bill
The UK’s Financial Conduct Authority has spent more than £100,000 on social media, clocking up its bill by training staff on Twitter and Facebook as well as monitoring and analysing online platforms.