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Primary Market Bulletin 48
This special edition consults on changes we propose to make to guidance in our Knowledge Base -
FCA fines RBS and NatWest for failures in mortgage advice process
in July 2012 that the necessary changes were well underway to address the FSA’s concerns. ... The final notice for the firms. -
Tribunal bans former trader for lying to the FCA and the Tribunal
Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted to market abuse. ... The final notice for Andrew Charles Kerr. -
FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited
The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him. -
PS13/9 Publishing information about enforcement warning notices
We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation. -
FCA publicly censures former Worldspreads CEO for market misconduct
The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity. -
FCA fines US based oil trader US $903K for market manipulation
The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers. -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures.