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FCA review finds gaps remain in brokers’ money laundering defences
The FCA has found wholesale brokers need to enhance their systems, controls, risk awareness and training to guard against money laundering. -
FCA expands Leeds office, creating new jobs and affirming its commitment to growth in the region
The FCA has opened further floor space at its existing base at 6 Queen Street, increasing it by an additional 5,000 square feet. -
FCA fines Arian Financial LLP £288,962.53 for failings relating to cum-ex trading
The FCA has fined Arian Financial LLP £288,962.53 for failing to ensure it had effective systems and controls against financial crime. -
FCA executes search warrants in investigations involving unauthorised business
Two individuals were arrested following FCA investigations into unauthorised debt and claims management activities. -
FCA apologises to Collateral investors
The FCA has called for people who may have invested in fraudulent peer-to-peer firm Collateral to come forward to the regulator so they can receive an apology. -
Rule changes proposed by FCA to boost investment
The FCA has set out plans to simplify the information supplied to investors to boost confidence and drive investment. -
FCA charges John Dance with offences related to WealthTek
The FCA has charged John Dance with 9 criminal offences, including multiple counts of fraud and money laundering. -
FCA finds two-thirds of young investors take less than 24 hours to make investment decisions
Latest research from the Financial Conduct Authority (FCA) reveals that young investors are making important investment decisions in a matter of hours, rather than taking the time to check out whether the product is right for them in the long-term. -
FCA consults on new private stock market
Proposals for a new platform - The Private Intermittent Securities and Capital Exchange System (PISCES) - on which shares in private companies will be bought and sold have been set out by the FCA. -
FCA publishes decisions against director and financial adviser for pension transfer advice failings
The FCA has decided to ban two individuals from working in financial services, and fine them £270,646 and £399,817 respectively.