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ESMA’s Call for Evidence on temporary product intervention measures applicable to contracts for difference and binary options sold to retail clients
On 18 January 2018, the European Securities and Markets Authority (ESMA) issued a consultation paper on applying potential product intervention measures to contracts for differences (CFDs) and binary options sold to retail clients. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
FCA response to ESMA's public statement on LEIs
On 20 December, ESMA issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation. -
Further success in reducing pension funds’ costs and charges
Actions taken by the FCA, the DWP and pension providers, together with Independent Governance Committees (IGCs) and trustees, result in lower costs and charges to consumers on about £24.9bn in workplace pension schemes. -
FCA action in respect of Park First Limited
Park First Limited and related entities (Park First) have been promoting and operating airport car parking investment schemes and we have been in discussions with them regarding the schemes. -
HBFS financial services limited
Freddy David, the sole director, was convicted at the Southwark Crown Court of 2 counts of fraud on 30 July 2018. He has been sentenced to 6 years in prison. HBFS is in liquidation. On 15 May 2019, the FCA imposed a full prohibition on Mr David. For -
Protect your pension pot from risky investments and scams
Given increased interest in pensions and pension transfer advice, this is a reminder to consumers and regulated firms of our previous consumer alert from August 2014. -
Consumer warning on Larksway Investments Limited
The FCA has stopped Larksway Investments Limited (Larksway) from providing insurance brokerage services to customers. -
Temporary prohibition of short selling: Credito Valtellinese SpA
Temporary prohibition of short selling: Credito Valtellinese SpA. News stories First published:. 20/11/2017. Last updated: 20/11/2017. Temporary prohibition of short selling: Credito Valtellinese SpA. The Financial Conduct Authority (“FCA”) -
Additional events for mortgage and general insurance firms announced for Live & Local regional programme
As we continue the successful regional events in the Live & Local programme, we are now announcing details of the first set of events taking place in 2018 for regulated mortgage and general insurance firms.