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UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
Mutual societies registration function: 2021-22
An update on our work and a breakdown of societies on the register. -
We invite Politically Exposed Persons to share their experiences
We have written to MPs, peers and other interested parties -
Darren Newton banned from working in the financial services sector
The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited. -
AI and financial crime: silver bullet or red herring?
Speech by Rob Gruppetta, Head of the Financial Crime Department, delivered at Chatham House. -
Building societies: Facing the challenges and opportunities head on
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the Building Societies Association Annual Conference on 19 May 2016, in Gateshead. -
Dharam Prakash Gopee guilty of acting as an illegal money lender
The trial of Dharam Prakash Gopee concluded today at Southwark Crown Court with the jury returning a guilty verdict to the charges brought by the FCA. -
Overdrafts and coronavirus: temporary guidance for firms
FCA publishes temporary guidance on overdrafts during the coronavirus situation -
FCA reminds cryptoasset businesses to register before the end of June
FCA reminds cryptoasset businesses to register before the end of June