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FCA charge five in alleged investment fraud (FCA/PN/48/2016)

Published: 16/06/2016     Last Modified: 16/06/2016

The offences relate to the promotion and sale of shares in Atlantic Equity LLC (formerly known as Berkeley Brookes LLC), between July 2013 and March 2014, through a succession of four alleged ‘boiler room’ companies


Former equities trader at Schroders Investment Management sentenced for insider dealing (FCA/PN/47/2016)

Published: 13/06/2016     Last Modified: 13/06/2016

Damian Clarke, a former equities trader at Schroders Investment Management has been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.


FCA bans two individuals for lack of integrity (FCA/PN/46/2016)

Published: 09/06/2016     Last Modified: 09/06/2016

We have banned Mark Kelly and Patrick Gray from working in the financial services industry on the basis that they lack integrity.


FCA fines CT Capital Ltd for failures related to PPI complaint handling (FCA/PN/45/2016)

Published: 01/06/2016     Last Modified: 01/06/2016

The FCA has today fined CT Capital Ltd £2,360,900 for serious failings in its historic Payment Protection Insurance (PPI) complaint handling processes.


Megan Butler appointed permanent Director of Supervision – Investment, Wholesale and Specialists (FCA/PN/44/2016)

Published: 27/05/2016     Last Modified: 27/05/2016

The FCA today announced that Megan Butler has been appointed permanently to the role of Director of Supervision – Investment, Wholesale and Specialists.



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