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Money laundering and supervising trusted professionals
OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards. -
FCA takes action for contempt of court
On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions -
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
Whilst as the securities regulator, we may enforce against those actions that are clearly and demonstrably in the wrong, we also have an absolute interest in ensuring that market participants meaningfully ... We look forward to swift and effective action -
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 -
Mark Starling sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud
Mark Barry Starling, aged 57 of Farnham, Surrey, was today sentenced at Southwark Crown Court to 5 years’ imprisonment for defrauding investors of just under £3 million in relation to unauthorised investment schemes he operated between 2008 and -
Consumer warning – Larksway Investments Limited (in Liquidation)
Larksway Investments Limited (Larksway) was referred to the FCA's Enforcement and Market Oversight Division on 5 April 2016.