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FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes. Press Releases First published:. 16/08/2013. Last updated: 17/09/2013. Share page. FCA bans and fines two for failing to monitor promotion of -
Adviser numbers in line with expectations
Figures released by the FCA revealed that in July 2013 there were 32,690 retail investment advisers working in the UK. -
FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010. -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Financial Conduct Authority appoints four new supervision directors
The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division -
Andy Briscoe appointed chairman of Money Advice Service
Former Life Trust Holdings CEO Andy Briscoe has been appointed chair of the Money Advice Service. -
Four arrested in FCA insider dealing investigation
The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London. -
Anti-money laundering
This report sets out our obligations relating to anti-money laundering, our approach to carrying out those obligations, and the trends and emerging risks in money laundering that we are seeing in the firms we regulate. -
Retail Distribution Review six months in – how firms are implementing the RDR
The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation.