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FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
FCA obtains High Court judgment against unauthorised mortgage brokers
The FCA has obtained a judgment against London Property Investments (U.K) Limited (LPI), NPI Holdings Limited, their director Daniel Stevens and his father, Tony Stevens, for arranging mortgages without FCA authorisation and exploiting vulnerable -
FCA ramps up intervention on rogue financial promotions
The FCA intervened to amend or withdraw 4,151 financial promotions between July and September, the highest since it started publishing the data. -
FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares
On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect. -
FCA publishes Decision Notices for Barclays plc and Barclays Bank plc (together “Barclays”)
Barclays have referred their Decision Notices to the Upper Tribunal. Any findings in the Notices are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers the firms’ behaviour should be characterised. -
Agile regulation and planning for success
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022 -
FCA statement regarding potential enforcement action against Link Fund Solutions Ltd
This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange. -
FCA decides to impose conditions on takeover of Link Group
Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link -
Fighting financial crime – the force multiplier effect
Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD. -
PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.