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FCA secures bankruptcy of 3 individuals involved in an unauthorised share scheme
The High Court had previously ordered payment of nearly £3.62 million to those who bought shares that were promoted unlawfully -
FCA commences criminal proceedings for fraud and unauthorised business
Following an investigation, the FCA has commenced criminal proceedings against Larry Barreto and Tassib Hussain. -
Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902
We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902. -
FCA makes key sustainability and technology hires
We have appointed Sacha Sadan as Director of Environment Social and Governance. -
Second consultation on new prudential regime for UK investment firms
The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business. -
FCA stops FXVC offering CFDs to UK customers
The FCA has acted to stop a Cypriot based firm, Finteractive Limited (trading as FXVC), from offering high risk contracts for difference (CFDs) to UK investors -
Business Loan Network Limited enters administration
On 15 April 2021, the Directors of Business Loan Network Limited, a regulated Peer-to Peer (P2P) firm, received court approval to place the firm into administration. -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
FCA urges Claims Management Companies and High Cost Lenders to work better together
We remind HCLs and CMCs that we expect them to work together to resolve disputes and disagreements in the interest of their customers. -
FCA confirms Finalised Guidance for advising on Defined Benefit transfers
Defined Benefit Pension transfer guidance