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  1. First-tier Tribunal upholds decision to fine Hall and Hanley Limited for data breaches and unauthorised copying of client signatures

    Press Releases Published: 18/12/2019 Last modified: 18/12/2019
    The First-tier Tribunal (the Tribunal) has upheld a fine of £91,000 imposed on Hall and Hanley Limited (H&H) by the Claims Management Regulator (CMR), the former regulator for claims management companies (CMCs). The hearing for the Tribunal was conducted by the Financial Conduct Authority (FCA) which has taken over the functions of the CMR.
  2. FCA asks for proposals on how open finance could transform financial services

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Bank of England (the Bank), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published a shared policy summary and co-ordinated consultation papers (CPs) on new requirements to strengthen operational resilience in the financial services sector.
  3. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.
  4. FCA secures confiscation order totalling £5 million against illegal money lender

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    On 11 December 2019, Southwark Crown Court made a confiscation order against Dharam Prakash Gopee in the sum of £5,118,018.72. The effect of the order is to confiscate all his criminal proceeds as an illegal money lender. Mr Gopee was also ordered to pay almost £230,000 in compensation to consumers.
  5. Building operational resilience: impact tolerances for important business services

    Press Releases Published: 05/12/2019 Last modified: 31/03/2020
    The Bank of England (the Bank), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published a shared policy summary and co-ordinated consultation papers (CPs) on new requirements to strengthen operational resilience in the financial services sector.
  6. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

    Press Releases Published: 29/11/2019 Last modified: 29/11/2019
    FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators
  7. FCA secures confiscation order totalling £291,070 against convicted fraudster

    Press Releases Published: 27/11/2019 Last modified: 27/11/2019
    A confiscation order of £291,070.36 was made against Mark Barry Starling in Southwark Crown Court.
  8. FCA to ban promotion of speculative mini-bonds to retail consumers

    Press Releases Published: 26/11/2019 Last modified: 26/11/2019
    The FCA has announced it will ban the mass marketing of speculative mini-bonds to retail customers.
  9. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North American Enhanced Equity Fund (the Japan and North American Funds). This was in contravention of...
  10. Connaught Independent Review call for information closes but investigation remains open to affected individuals

    Press Releases Published: 20/11/2019 Last modified: 20/11/2019
    Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.