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  1. Stanwick Wealth / Stanwick Wealth Advisory

    Warnings Published: 20/11/2019 Last modified: 20/11/2019
    Stanwick Wealth / Stanwick Wealth Advisory is not authorised or registered by the FCA. Find out why and how to protect yourself from scammers.
  2. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 20/11/2019
    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...
  3. Nelson Braithwaite Investments (Clone of EEA authorised firm)

    Warnings Published: 20/11/2019 Last modified: 20/11/2019
    Nelson Braithwaite Investments (Clone of EEA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself from scammers.
  4. 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.
  5. InteliSure

    Warnings Published: 19/11/2019 Last modified: 19/11/2019
    InteliSure is not authorised or registered by the FCA. Find out why and how to protect yourself from scammers.
  6. Conduct risk during LIBOR transition: Questions and answers

    Statements Published: 19/11/2019 Last modified: 19/11/2019
    News story on conduct risk during LIBOR transition: Questions and answers for firms
  7. Castle Trust Private Bank (clone of FCA authorised firm)

    Warnings Published: 18/11/2019 Last modified: 18/11/2019
    Castle Trust Private Bank (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself from scammers.
  8. Credit Suisse Securities (Clone of FCA authorised firm)

    Warnings Published: 18/11/2019 Last modified: 18/11/2019
    Credit Suisse Securities (Clone of FCA authorised firm) ] is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself from scammers.
  9. Credit Suisse (UK) Limited (Clone of FCA authorised firm)

    Warnings Published: 18/11/2019 Last modified: 18/11/2019
    Credit Suisse (UK) Limited (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself from scammers.
  10. FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability

    Press Releases Published: 18/11/2019 Last modified: 18/11/2019
    The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’ respective decision-making committees found, following a joint investigation, that between February 2010...