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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. -
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. -
PS15/10: MIPRU Chapter 4 simplification: Feedback on CP14/28 and final rules
In this Policy Statement we summarise the feedback we received to the proposals contained in CP14/28 and give our responses. -
FCA stops AJH Financial Services Limited disposing of assets without permission
We have stopped AJH Financial Services Limited, a firm that advised on transfers from the British Steel Pension Scheme (BSPS), disposing of assets without FCA permission. -
FCA consults on new rules to improve open-ended property fund structures
The FCA is consulting on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds. The new rules as proposed would require investors to give notice – potentially of up to 180 days - before -
Ring-fencing: Disclosures to consumers by non-ring-fenced bodies: PS16/9
We have published our final rules for non-ring-fenced bodies. -
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 -
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). -
Using artificial intelligence to keep criminal funds out of the financial system
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered to the FinTech Innovation in AML and Digital ID regional event, London. -
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