FCA
Two brothers convicted for taking £750,000 out of failed investment firm
They ‘masqueraded’ as an authorised company to ‘defraud consumers’
FCA praised for opening direct bond access to retail investors
This follows the regulator publishing an engagement paper on non-equity securities
Third IFA firm reprimanded over unsolicited offers to ex-BSPS members
As FCA sends ‘Dear CEO’ letter about companies using online portals of third-party actuarial providers to calculate redress
UK regulator issues warning to three DFM senior managers
FCA says they were allegedly involved in a ‘coordinated arrangement’ which led to ‘customers suffering financially’
UK financial regulator secures £130,000 to return to investors
They were victims of unauthorised investment arrangements and advice