Showing 551 to 560 of 1902 search results.

551. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

     Press Releases Published: 06/05/2021 Last modified: 06/05/2021
     We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

552. FCA to require pension providers to offer to book Pension Wise appointments for consumers

     Press Releases Published: 04/05/2021 Last modified: 04/05/2021
     The Financial Conduct Authority (FCA) has today proposed new rules to require pension providers to ‘nudge’ consumers to Pension Wise in order to benefit from guidance before they access their defined contribution pension savings. This includes

553. The FCA and Practitioner Panel joint survey for 2021 launches

     News stories Published: 30/04/2021 Last modified: 30/04/2021
     The FCA and Practitioner Panel joint survey for 2021 has launched. Regulated firms share their feedback on how the FCA regulates the industry.

554. FCA consults on strengthening investor protections in SPACs

     Press Releases Published: 30/04/2021 Last modified: 30/04/2021
     The FCA has launched a consultation on proposed changes to its Listing Rules for certain special purpose acquisition companies (SPACs). 

555. FCA sets out proposals to strengthen its financial promotion rules for high-risk investments

     Press Releases Published: 29/04/2021 Last modified: 29/04/2021
     Read our proposals to help retail investors make more effective decisions on high-risk investments

556. FCA secures bankruptcy of 3 individuals involved in an unauthorised share scheme

     News stories Published: 28/04/2021 Last modified: 28/04/2021
     The High Court had previously ordered payment of nearly £3.62 million to those who bought shares that were promoted unlawfully

557. FCA commences criminal proceedings for fraud and unauthorised business

     Press Releases Published: 22/04/2021 Last modified: 22/04/2021
     Following an investigation, the FCA has commenced criminal proceedings against Larry Barreto and Tassib Hussain.

558. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

559. FCA makes key sustainability and technology hires

     Press Releases Published: 19/04/2021 Last modified: 19/04/2021
     We have appointed Sacha Sadan as Director of Environment Social and Governance.

560. Second consultation on new prudential regime for UK investment firms

     News stories Published: 19/04/2021 Last modified: 19/04/2021
     The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business.