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FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings
We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings. -
Gaming trading: how trading apps could be engaging consumers for the worse
You may be familiar with the jumping green owl celebrating your completion of a Duolingo language lesson. Or perhaps you compete against your friends on Strava to run the most miles in a month. These are all examples of gamification – the use of -
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
Principle 3 requires firms to take reasonable care to organise and control their affairs responsibly and effectively and with adequate risk management systems. ... Principle 10 requires firms to arrange adequate protection for clients’ assets when it -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
The Upper Tribunal (Tribunal) has released its decision in relation to Tariq Carrimjee of Somerset Asset Management LLP (Somerset). -
Review of terminal illness benefits within life insurance protection products
FCA review of insurance companies’ approaches to terminal illness benefits to make recommendations for improvement. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
side-by-side asset management. ... Aviva Investors breached Principle 3 by failing to exercise adequate and effective control over its side-by-side management of funds. -
Statement on the Financial Conduct Authority’s review of Royal Bank of Scotland’s treatment of customers referred to its Global Restructuring Group
This statement provides an update on the Financial Conduct Authority’s (FCA) review of Royal Bank of Scotland’s (RBS) treatment of small and medium enterprise (SME) customers in financial difficulty. -
FCA takes over regulation of consumer credit firms - research shows 9m people are in serious debt and 1.8m in denial
fairly. The biggest changes come for payday lenders and debt management companies, including:. ... debt management (the FCA will closely supervise compliance with the new rules), and. -
Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud
Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling