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FCA fines and bans wife and bans husband financial advisor for lack of integrity
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA -
Darren Newton banned by the FCA for misappropriating client money
The Financial Conduct Authority (FCA) has today published a Decision Notice, which sets out its decision to ban Darren Lee Newton from working in any regulated activity in the financial services sector. -
FCA censures Premier FX for payment rule breaches
The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations. -
Benchmarks Regulation: our powers, policy and decision-making
Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR. -
Former Blackrock Asset Management Managing Director Banned
The FCA does not consider that this is fit and proper behaviour for an approved person. ... The Final Notice for Jonathan Paul Burrows. -
Cash savings: Sunlight remedy third report
This is the third report into cash savings account rates under our sunlight remedy, following our first publication in December 2015 and second publication in July 2016. -
Charles Randell speech at the Annual Public Meeting 2018
Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
FCA fines Sesame Ltd for ‘pay-to-play’ arrangements
In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of -
FCA fines and bans former RBS trader, Neil Danziger
The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated