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National Audit Office report – financial services mis-selling: regulation and redress
The National Audit Office (NAO) has today (24 February 2016) published its report on financial services mis-selling: regulation and redress. -
FCA fines and restricts W H Ireland Limited for market abuse risks
FCA fines and restricts W H Ireland Limited for market abuse risks. Press Releases First published:. 23/02/2016. Last updated: 23/02/2016. Share page. FCA fines and restricts W H Ireland Limited for market abuse risks. The Financial Conduct -
FCA encourages firms to do more to support ageing population
FCA encourages firms to do more to support ageing population. Press Releases First published:. 22/02/2016. Last updated: 02/03/2017. Share page. FCA encourages firms to do more to support ageing population. A Discussion Paper published today by the -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
Advice firms demonstrate some good practice on due diligence but greater consistency needed. Press Releases First published:. 19/02/2016. Last updated: 19/02/2016. Share page. Advice firms demonstrate some good practice on due diligence but greater -
FCA publishes Call for Input on the review of retained provisions of the Consumer Credit Act
FCA publishes Call for Input on the review of retained provisions of the Consumer Credit Act. Press Releases First published:. 18/02/2016. Last updated: 18/02/2016. Share page. FCA publishes Call for Input on the review of retained provisions of -
£2.9 million to be returned to investors following FCA prosecution
£2.9 million to be returned to investors following FCA prosecution. Press Releases First published:. 12/02/2016. Last updated: 30/09/2016. Share page. £2.9 million to be returned to investors following FCA prosecution. Southwark Crown Court today -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative. Press Releases First published:. 09/02/2016. Last updated: 09/02/2016. Share page. FCA fines former Head of JP Morgan’s CIO International -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references. Press Releases First published:. 04/02/2016. Last updated: 19/04/2016. Share page. FCA confirms accountability rules for wholesale traders and -
The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings. -
FCA and PRA investigations into HBOS senior managers
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.