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Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Tracey McDermott, the FCA's director of enforcement and financial crime, said:. -
The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. -
FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being -
FCA bans partners of firm that failed to consider customer SIPP suitability
Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. -
Land bank firm shut down by the FCA has appeal rejected by Court
The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I. -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further regulatory action, including referrals to enforcement. ... However, it is likely two firms with egregious failings uncovered in the second