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Active Securities Limited enters administration
On 29 November 2019, Active Securities Limited, trading as 247 Moneybox, was placed into administration. -
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. -
Conduct risk during LIBOR transition: Questions and answers
News story on conduct risk during LIBOR transition: Questions and answers for firms -
FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability
The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’ -
Statement on MiFID II inducements and research
FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions -
22 years of pension savings gone in 24 hours
The FCA and The Pensions Regulator are warning the public about fraudsters targeting people’s retirement savings. This warning comes as new research suggests that 42% of pension savers, which would equate over 5 million people across the UK, could