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Elite Insurance Company Ltd ('Elite') has entered into administration
Elite Insurance Company Ltd (‘Elite’) has entered into administration -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
Building operational resilience: impact tolerances for important business services
The Bank of England (the Bank), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published a shared policy summary and co-ordinated consultation papers (CPs) on new requirements to strengthen operational -
FCA meets firms to discuss feedback on Gabriel and improvements to new data collection platform
Following the Gabriel user survey we launched in July 2019, we met with survey respondents who expressed interest in engaging with us on the new system -
MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors
MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors -
FCA consults on how to extend the Senior Managers Regime to benchmark administrators
FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators -
FCA secures confiscation order totalling £291,070 against convicted fraudster
A confiscation order of £291,070.36 was made against Mark Barry Starling in Southwark Crown Court. -
FCA to ban promotion of speculative mini-bonds to retail consumers
The FCA has announced it will ban the mass marketing of speculative mini-bonds to retail customers. -
FCA fines Henderson £1.9m for fund failings
The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North -
Connaught Independent Review call for information closes but investigation remains open to affected individuals
Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.