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PS22/7: FCA regulated fees and levies 2022/23
We publish our final 2022/23 regulated fees and levies including feedback on CP21/7. -
Tribunal upholds FCA fine on firm for misselling complex investments
It remains open to Westwood to appeal the judgment. Update 17/12/2013: Westwood will not appeal the judgment, and the FCA has issued a Final Noticeto Westwood. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to -
FCA bans and fines former insurance broker £140,000
The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity. -
Information on suspected orderbook spoofing and/or layering
FCA responds on request for numbers of 'incidents' and 'cases' of suspected orderbook spoofing and/or layering -
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. -
Moorhouse fined for failures in relation to its telephone sales
Were it not for this discount the Authority would have imposed a penalty of £227,670. ... The Final Notice for Moorhouse Group Limited. -
FCA issues first statement of objections to four asset management firms
The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The -
FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
Tribunal directs Financial Conduct Authority to ban former insurance broker
The Tribunal reached this decision because Mr Allen was found to have submitted a forged document in evidence and to have knowingly given untrue evidence before the High Court in another ... The Final Notice for Stephen Allen. -
Former chief executive of stockbroker firm fined £450,000 and banned
the FCA to issue its final notice, which reflects the FSA’s 2012 decision. ... The Final notice for Gracechurch Investments Limited (in liquidation), 20th December 2012.