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FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
SFVA Finance (clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. -
Charles Randell to step down as FCA and PSR Chair in Spring 2022
Charles Randell has asked the Chancellor of the Exchequer to commence the process to appoint his successor as Chair of the Financial Conduct Authority (FCA) and Payment Systems Regulator (PSR). Charles plans to step down in Spring 2022. -
Statement on accounting for lease modifications (amendment to IFRS 16)
We are announcing temporary relief for issuers who choose to use the amended IFRS 16 during the coronavirus (Covid-19) pandemic and its aftermath. -
FCA publishes rules that will apply at the end of the transition period
We've published an updated version of the FCA Handbook to show the rules that will apply at the end of the transition period. -
FCA announces changes to advice on pension transfers
The FCA has published new rules and guidance on pension transfer advice and is seeking views on additional changes, including adviser charging structures. -
FCA launches campaign to encourage individuals to report wrongdoing
The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA. -
Caution urged when investing through Harlequin
If you have any queries about the firm you should contact its joint liquidators, Shipleys and Leonard Curtis. -
Recovery plans – initial observations
before the firm breached its regulatory requirements). In this context, many plans failed to demonstrate through their scenario analysis that:. ... s application of its recovery options. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.