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State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
The Final Notice for State Street UK. -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk -
Considerations for Principals who have Appointed Representatives or Introducer Appointed Representatives (ARs)
The FCA issued an alert for all Principals who have Appointed Representatives or Introducer Appointed Representatives regardless of sector. -
FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd
The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put -
Information about agreements made under the Serious Organised Crime and Police Act 2005 - April 2020
The FCA provides information about agreements made under sections 71 to 74 of the Serious Organised Crime and Police Act 2005 (SOCPA). -
CP22/5: Proposed changes to allow companies to use a more up to date electronic format for their annual financial reports
We propose to change the definition of UKSEF 2022 in Article 2(4B) of the Transparency Directive (TD) ESEF Regulation so that it refers to UKSEF 2022 v2.0.0 instead of v1.0.0. -
FCA confirms rules for legacy use of synthetic LIBOR rates and no new use of US dollar LIBOR
FCA confirms it will allow temporary use of ‘synthetic’ sterling and yen LIBOR rates in all legacy LIBOR contracts, other than cleared derivatives, that have not been changed at or ahead of end-2021 -
Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to impose a financial penalty of £80,000 on Amir Khan, director of Sovereign Worldwide Limited (Sovereign), for dishonestly submitting false income -
FCA succeeds in application to Upper Tribunal to strike out P.F. International’s challenge to regulatory decision
The Financial Conduct Authority (‘FCA’) has successfully applied to the Upper Tribunal to strike out an appeal made by P.F International Limited, a franchise of the Kirby Vacuum Company. P.F. International has now exhausted its avenues of appeal.