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  1. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.
  2. FCA bans three individuals from working in the financial services industry for non-financial misconduct

    Press Releases Published: 05/11/2020 Last modified: 05/11/2020
    The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of
  3. FCA censures Aviva plc for listing and transparency rules breach

    Press Releases Published: 26/10/2020 Last modified: 26/10/2020
    The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.
  4. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

    Press Releases Published: 22/10/2020 Last modified: 23/10/2020
    FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)
  5. FCA fines ARCM £873,118 for breaches of short selling disclosure rules

    Press Releases Published: 14/10/2020 Last modified: 14/10/2020
    The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built
  6. FCA regulation of consumer credit – during the pandemic and beyond

    Speeches Published: 13/10/2020 Last modified: 14/10/2020
    Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference
  7. FCA bans IFA directors who provided false and misleading SIPP declarations

    Press Releases Published: 12/10/2020 Last modified: 12/10/2020
    The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. 
  8. Market abuse in a time of coronavirus

    Speeches Published: 12/10/2020 Last modified: 12/10/2020
    Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.
  9. FCA urges unauthorised land banking scheme victims to get in touch to return funds

    Press Releases Published: 09/10/2020 Last modified: 09/10/2020
    The Financial Conduct Authority (FCA) is urging members of the public who invested in an unauthorised land banking scheme, and who may be eligible to receive some of their money back, to get in contact with the FCA.
  10. FCA secures £1.6m confiscation order against Richard Baldwin

    Press Releases Published: 05/10/2020 Last modified: 05/10/2020
    FCA secures £1.6m confiscation order against Richard Baldwin