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  1. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

    Press Releases Published: 06/05/2021 Last modified: 06/05/2021
    We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.
  2. FCA to require pension providers to offer to book Pension Wise appointments for consumers

    Press Releases Published: 04/05/2021 Last modified: 04/05/2021
    The Financial Conduct Authority (FCA) has today proposed new rules to require pension providers to ‘nudge’ consumers to Pension Wise in order to benefit from guidance before they access their defined contribution pension savings. This includes
  3. FCA consults on strengthening investor protections in SPACs

    Press Releases Published: 30/04/2021 Last modified: 30/04/2021
    The FCA has launched a consultation on proposed changes to its Listing Rules for certain special purpose acquisition companies (SPACs). 
  4. FCA sets out proposals to strengthen its financial promotion rules for high-risk investments

    Press Releases Published: 29/04/2021 Last modified: 29/04/2021
    Read our proposals to help retail investors make more effective decisions on high-risk investments
  5. FCA commences criminal proceedings for fraud and unauthorised business

    Press Releases Published: 22/04/2021 Last modified: 22/04/2021
    Following an investigation, the FCA has commenced criminal proceedings against Larry Barreto and Tassib Hussain.
  6. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

    Press Releases Published: 20/04/2021 Last modified: 20/04/2021
    We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.
  7. FCA makes key sustainability and technology hires

    Press Releases Published: 19/04/2021 Last modified: 19/04/2021
    We have appointed Sacha Sadan as Director of Environment Social and Governance.
  8. FCA stops FXVC offering CFDs to UK customers

    Press Releases Published: 16/04/2021 Last modified: 07/07/2021
    The FCA has acted to stop a Cypriot based firm, Finteractive Limited (trading as FXVC), from offering high risk contracts for difference (CFDs) to UK investors
  9. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.
  10. FCA publishes Decision Notice against Jon Frensham for non-financial misconduct

    Press Releases Published: 29/03/2021 Last modified: 29/03/2021
    The FCA has published a Decision Notice in respect of Jon Frensham (formerly known as Jonathan James Hunt), an independent financial adviser and the sole director at Frensham Wealth Limited.