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  1. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.
  2. New FCA complaints data: 3.32 million complaints about financial services in the first six months of 2017

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) has today published the data on the number of complaints reported by firms for the first half of 2017.
  3. FCA bans debt management couple for misappropriating client money

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a total in excess of £6m as a result of their actions.
  4. Update on the FCA’s review of RBS’s treatment of SME customers referred to its Global Restructuring Group

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) today publishes an interim summary of the independent review of Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).
  5. FCA statement on judicial review of PPI complaints measures

    Statements Published: 20/10/2017 Last modified: 20/10/2017
    On 3 October 2017 the Court of Appeal refused We Fight Any Claim permission to appeal the decision by Mr Justice Singh (as he then was) in the Administrative Court on 4 August 2017 to refuse We Fight Any Claim permission to bring a claim for judicial review of the FCA’s new package of measures in relation to PPI complaints (including a 29...
  6. Financial Conduct Authority outlines lessons learned in year one of its Regulatory Sandbox

    Press Releases Published: 20/10/2017 Last modified: 20/10/2017
    The Financial Conduct Authority (FCA) has today published a report outlining how the regulatory sandbox (sandbox) has met its objectives over the first year of operation.
  7. Review of debt management sector gets underway

    News stories Published: 19/10/2017 Last modified: 19/10/2017
    We are undertaking a thematic review of the debt management sector, in line with the commitment in our 2017/18 Business Plan.  
  8. Regulation round-up October 2017

    Newsletters Published: 19/10/2017 Last modified: 19/10/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  9. FCA reveals findings from its first Financial Lives Survey

    Press Releases Published: 18/10/2017 Last modified: 18/10/2017
    The Financial Conduct Authority (FCA) has today published the results of its Financial Lives Survey 2017.
  10. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

    Press Releases Published: 17/10/2017 Last modified: 17/10/2017
    The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules).