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Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential -
FCA issues its first decision under competition law
The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers. -
Market abuse requires a dynamic response to a changing risk profile
These are nuanced issues but they reflect that the cleanliness of our markets is not just founded in the avoidance of clear acts of criminal or regulatory breaches which produce enforcement -
FCA warns public of investment scams as over £197 million reported losses in 2018
The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018. -
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 -
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 -
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. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Darren Newton banned from working in the financial services sector
The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited.