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FCA fines and prohibits hedge fund Chief Investment Officer for market abuse
The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated -
New executive appointments at Financial Conduct Authority
The FCA has appointed Sheldon Mills as the new Executive Director, Consumers and Competition, and Siobhán Sheridan as Chief People Officer -
FCA issues warning over festive season loan fee fraud
‘Three Wise Warnings’ for consumers to look out for this Christmas as fraudsters attempt to steal two-thirds of average gift spend. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
FCA confirms speculative mini-bond mass-marketing ban
The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors. -
FCA publishes evaluation of its work on the financial advice market
FCA publishes evaluation of its work on the financial advice market. -
1 month to go: FCA reminds firms to be ready for end of transition period
The FCA has reminded firms to be ready for the end of the transition period in 1 month’s time. -
FCA charges Richard Jonathan Faithfull with one offence of money laundering
Following a joint investigation by the Financial Conduct Authority and City of London Police, the FCA has charged Richard Jonathan Faithfull with one offence of money laundering, contrary to Section 327 of the Proceeds of Crime Act -
Stephen Lewis Allen pleads not guilty to conspiracy to pervert the course of justice
Stephen Allen pleads not guilty to FCA charge of conspiracy to pervert the course of justice. -
FCA fines TFS-ICAP £3.44 million for market misconduct
The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.