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Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FSA fines spread bet broker £490,000 for transaction reporting failures
The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA. -
FCA Statement on fair treatment of long-standing customers in the life insurance sector
to meet our standards and, if so, whether remedial and/or disciplinary action is necessary or appropriate in relation to these firms or others across the market. ... Limited and Prudential Pensions Ltd); Scottish Widows ( the two entities within the -
FCA prohibits and fines Omar Hussein for pension switching advice failings
The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000. -
FCA commences High Court proceedings over unauthorised collective investment schemes
The FCA has commenced High Court proceedings against Mr Robin Forster, Fortem Global Limited and Mr Richard Tasker, over alleged links to investments in care homes in which investors appear to have lost at least £30 million. -
Go Compare the Bond Market / www.gocomparethebonds.com (Clone of FCA Authorised firm)
Go Compare the Bond Market / www.gocomparethebonds.com (Clone of FCA Authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA to investigate competition in investment and corporate banking services following review of wholesale markets
Market studies are an important tool for examining how well competition works in financial markets and help us assess whether we should intervene in the interests of their users. ... The FCA has an overarching strategic objective of ensuring the relevant -
FCA takes first criminal action against an individual acting as unlicensed consumer credit lender
Mr Dharam Prakash Gopee has today, 17 January 2017, appeared at Westminster Magistrates Court charged with offences under the Consumer Credit Act 1974 and the Financial Services and Markets Act 2000. These charges arise from an investigation -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Accurate and timely reporting of transactions is crucial for us to perform effective surveillance for insider trading and market manipulation in support of our objective to ensure that markets work well ... A transaction report is a data set submitted to