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FCA fines former fund manager Paul Stephany
The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing. -
Manraj Virdee sentenced to 2 years for illegally operating an investment scheme and fraud
In a case brought by the Financial Conduct Authority (FCA), Manraj Virdee was yesterday sentenced at Southwark Crown Court to a 2 year prison sentence suspended for 2 years and he was further ordered to carry out 300 hours of unpaid work in the -
FCA publishes its second set of rules following its Asset Management Market Study
The Financial Conduct Authority (FCA) has published new rules and guidance to improve the quality of the information available to consumers about the funds they invest in. -
Brexit – what we expect firms and other regulated persons to do now
The Treasury has published draft legislation that would temporarily empower the FCA and the Bank of England/Prudential Regulation Authority (PRA) to make transitional provisions if the UK leaves the EU without an agreement in place. We intend to use -
Requirements for UK trade repositories and reporting counterparties
In January 2019, we confirmed that we will become the UK regulator of Trade Repositories (TRs) after Brexit. This information is only applicable if the UK leaves the EU without a withdrawal agreement (a no-deal scenario). -
FCA agrees MoUs with ESMA and EU regulators to allow cooperation and exchange of information
The Financial Conduct Authority (FCA) has agreed Memoranda of Understanding (MoUs) with ESMA and EU regulators. -
Financial Conduct Authority outlines how it would use the temporary transitional power
The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement. -
List of EEA market operators applying to become a recognised overseas investment exchange (ROIE)
In September 2018, we published a direction (PDF) that clarified how market operators (as defined by MiFID II) from the European Economic Area (EEA) can apply to become a recognised overseas investment exchange (ROIE). This would enable EEA market -
FCA launches consultation on General Insurance value measures data
Today the Financial Conduct Authority (FCA) has launched a consultation proposing new rules requiring firms to report General Insurance (GI) value measures data to the FCA for publication. Alongside the Consultation Paper, the FCA has also published -
FCA proposes rules on investment pathways and other measures to improve retirement outcomes for consumers
The Financial Conduct Authority (FCA) is today consulting on measures to stop up to 100,000 consumers a year losing out on pension income when they access the pension freedoms.