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FCA bans former RBS LIBOR submitter, Paul White
This ban should reinforce the message that working in financial markets entails obligations and responsibilities and that serious failures will result in substantial penalties including fines and prohibitions.”. ... This is the FCA’s fourth public -
FCA fines former managing director £45,000 for failure to notify personal trades
The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades. -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
FCA bans Jon Frensham from working in financial services
The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
FCA issued Final Notices against Cathay International Holdings Limited, its CEO and Finance Director
Today, the FCA has issued Final Notices against all three.