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  1. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions.  The Tribunal also upheld the FCA’s decision to impose a financial penalty of £86,691 on Mr Palmer...
  2. FCA secures £350,000 confiscation order against convicted insider dealer

    Press Releases Published: 24/07/2017 Last modified: 24/07/2017
    Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3 years in prison.
  3. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB).
  4. FCA publishes annual report and accounts 2016/17

    Press Releases Published: 05/07/2017 Last modified: 05/07/2017
    The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17.
  5. FCA secures eight confiscation orders totalling almost £2.2 million

    Press Releases Published: 24/05/2017 Last modified: 24/05/2017
    The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 
  6. FCA Board appoints new members to the Regulatory Decisions Committee

    Press Releases Published: 25/04/2017 Last modified: 25/04/2017
    The Board of the Financial Conduct Authority (FCA) has appointed an additional six members to the FCA’s Regulatory Decisions Committee (RDC).
  7. The FCA publishes its Mission and Business Plan

    Press Releases Published: 18/04/2017 Last modified: 18/04/2017
    The Financial Conduct Authority (FCA) has today published its Mission, which gives firms and consumers greater clarity about how the FCA prioritises its interventions in financial markets.
  8. Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading

    Press Releases Published: 07/04/2017 Last modified: 07/04/2017
    The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS).
  9. FCA bans and fines two individuals for market abuse

    Press Releases Published: 07/04/2017 Last modified: 07/04/2017
    The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    
  10. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

    Press Releases Published: 31/03/2017 Last modified: 31/03/2017
    The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting trading venues, transparency of trading and algorithmic and high frequency trading.