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FCA decides to impose conditions on takeover of Link Group
Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link -
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 -
FCA bans debt management couple for misappropriating client money
The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a -
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. -
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. -
London Capital and Finance plc
On 30 January 2019, London Capital and Finance plc (LCF) appointed joint administrators who will contact all affected parties in due course -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
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. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).