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Enforcement regulatory disclosure review: outcome
Following a review, the FCA has improved our disclosure processes in regulatory enforcement cases. -
Director fined £1.1m and banned for misusing funds due to insurers
The FCA has banned Leigh Mackey from working in financial services and fined him £1,102,879 for misleading the FCA and misusing funds due to insurers. -
FCA secures convictions against two individuals for £1.5m fraud
Two individuals have been convicted for their roles in an £1.5 million investment fraud following a prosecution brought by the FCA. -
FCA enhances access to market data and investment research to support growth
The FCA has set out a package of measures to reinforce the UK’s leading position in the bond, derivatives and asset management sectors, supporting growth. -
Three individuals and two firms charged over alleged unauthorised business activities
The FCA has started criminal proceedings against Anthony Hay, Laura Hay, Tim Stewart, Premier Finance GB Ltd and Proserv GBR Limited, for allegedly engaging in unauthorised business. -
FCA welcomes Project Guardian’s first industry report on tokenisation
Project Guardian is an international collaboration of industry and regulators, led by the Monetary Authority of Singapore, that explores the use of fund and asset tokenisation. -
FCA and PSR Boards appoint new chair to decision-making committees
The FCA and PSR announces the appointment of Alison Potter as Chair to two major committees. -
FCA bans Steven Hodgson and Paul Adams for pension transfer advice failings
The FCA has banned Steven Hodgson and Paul Adams of Vintage Investment Services from advising any customers on pension transfers and opt outs. -
FCA fines Kristo Käärmann £350,000 for failing to notify the FCA of significant tax issues
The FCA has fined Mr Käärmann £350,000 for breaching a senior manager conduct rule. -
FCA statement on Court of Appeal judgment in Hopcraft, Johnson and Wrench
The FCA notes the Court of Appeal judgment on motor finance commission and is carefully considering its decision.