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Findings from our investment platforms costs and charges review – good and poor practice
In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review. -
Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives
The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata). -
Santander UK fined £12.4m for widespread investment advice failings
Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank. -
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures. Press Releases First published:. 16/06/2014. Last updated: 09/12/2016. Share page. Financial Conduct Authority fines Credit Suisse and -
CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)
We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs). -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering -
Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice
Today at Southwark Crown Court Alex Hope was sentenced to 16 months’ imprisonment for perverting the course of justice. The charge related to his conduct following the imposition of a restraint order in 2012 and a confiscation order in 2016 -
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)