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The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
Enforcement data – Annual Report 2019/20
This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20. -
Apply to become a sponsor
If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved. -
Alexander David Securities Limited enters liquidation
On 1 July 2022 Alexander David Securities Limited (ADSL) entered creditors’ voluntary liquidation and Shane Cooks, Emma Sayers and Malcolm Cohen of BDO LLP were appointed as joint liquidators. -
Payment Services Regulations 2017 and Electronic Money Regulations 2011
The FCA provides information on the regulation of payment services and e-money, including who is affected by the rules. -
Independently East Ltd enters compulsory liquidation
Independently East Ltd entered compulsory liquidation following an application made by the FCA. -
PS21/16: Issuing statutory notices – a new approach to decision makers
We are reforming our decision-making process so we can make faster and more effective decisions. This will help us improve how we tackle firms and individuals who do not meet the required regulatory standards. -
FCA publicly censures Redcentric PLC for market abuse
The FCA has today issued a public censure to to Redcentric PLC (Redcentric) for committing market abuse between 9 November 2015 and 7 November 2016. -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.