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  1. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  2. FCA consults on new guidance on variation terms under unfair terms legislation

    Press Releases Published: 17/05/2018 Last modified: 31/05/2018
    The Financial Conduct Authority (FCA) is consulting on new guidance outlining factors financial services firms should consider under the Consumer Rights Act 2015 (CRA) when drafting and reviewing variation terms in their consumer contracts. The CRA

  3. FCA proposes permanent measures for retail CFDs and binary options

    Press Releases Published: 07/12/2018 Last modified: 07/12/2018
    The Financial Conduct Authority (FCA) is proposing rules to address harm to retail consumers from the sale of certain complex derivative products with the publication of two consultation papers.

  4. FCA confirms measures to raise standards in the funeral plans market

    Press Releases Published: 05/07/2021 Last modified: 05/07/2021
    To enhance consumer protection in the funeral plans market, the FCA has confirmed the rules funeral plan providers will have to follow when they come under regulation from 29 July 2022.

  5. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

    Press Releases Published: 05/11/2014 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

  6. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    The Final Notice for IEL. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.

  7. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

  8. CP13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships

    Consultation papers Published: 02/10/2013 Last modified: 07/02/2022
    In this Consultation Paper (CP) we propose that all unincorporated associations and certain large partnerships will become eligible to claim on the Financial Services Compensation Scheme (FSCS) if an investment firm fails.

  9. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  10. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly. Press Releases First published:. 05/06/2015. Last updated: 05/06/2015. Share page. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly. The
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