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FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options
This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail -
Besso Limited fined for anti-bribery and corruption systems failings
Were it not for this discount, the financial penalty would have been £450,000. ... The final notice for Besso Limited. -
Wealth Managers and Financial Advisers and change of control requests 2017-2021 - March 2022
The FCA provides data on Wealth Managers and Financial Advisers. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd. -
FCA stops AJH Financial Services Limited disposing of assets without permission
We have stopped AJH Financial Services Limited, a firm that advised on transfers from the British Steel Pension Scheme (BSPS), disposing of assets without FCA permission. -
PS23/13: Introducing a gateway for firms who approve financial promotions
The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions. -
FCA statement on its work on liquidity mismatch in authorised open-ended property funds
In August 2020 we consulted on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds. -
CP15/11: Implementation of the Transparency Directive Amending Directive (2013/50/EU) and other Disclosure Rule and Transparency Rule changes
The Transparency Directive (TD) principally harmonises requirements on companies regarding information disclosure. -
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. -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
The Final Notice for Rabobank. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.