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The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity. -
Information on redress awarded under restitution orders - August 2021
The FCA provides information on the amount of redress awarded under restitution orders as a result of the FCA's work on scams. -
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
In June this year, the FCA published final rules to ban the promotion of UCIS and certain close substitutes to the vast majority of retail investors in the UK. -
PS22/7: FCA regulated fees and levies 2022/23
We publish our final 2022/23 regulated fees and levies including feedback on CP21/7. -
The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings. -
FCA fines and restricts W H Ireland Limited for market abuse risks
FCA fines and restricts W H Ireland Limited for market abuse risks. Press Releases First published:. 23/02/2016. Last updated: 23/02/2016. Share page. FCA fines and restricts W H Ireland Limited for market abuse risks. The Financial Conduct -
Deutsche Bank fined £4.7m for failing to properly report transactions
The final notice for Deutsche Bank AG. -
Invesco Perpetual fined £18.6 million for failings in fund management
Invesco Perpetual fined £18.6 million for failings in fund management. Press Releases First published:. 28/04/2014. Last updated: 28/04/2014. Share page. Invesco Perpetual fined £18.6 million for failings in fund management. The Financial Conduct -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd.