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FCA fines compliance oversight officer for pension transfer failings
The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
FCA secures eight confiscation orders totalling almost £2.2 million
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. -
FCA Board appoints new members to the Regulatory Decisions Committee
The Board of the Financial Conduct Authority (FCA) has appointed an additional six members to the FCA’s Regulatory Decisions Committee (RDC). -
The FCA publishes its Mission and Business Plan
The FCA has published its Mission, which gives firms and consumers greater clarity about how the FCA prioritises its interventions in financial markets. -
Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents. -
Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading
The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS). -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement