Adviser banned and fined £290k by FCA
- Wednesday, 20 May 2015
- Articles
An adviser has been fined £290,344 and banned from performing any function in relation to regulated activities. Read more...
Firm banned from employing advisers after serious misconduct
- Wednesday, 23 July 2014
- Articles
Financial Group has been banned from employing new advisers for four and a half months due to serious misconduct.
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AIC welcomes exclusion of VCTs from FCA's UCIS ban
- Tuesday, 04 June 2013
- Articles
The Association of Investment Companies has welcomed the FCA's confirmation that Venture Capital Trusts and offshore investment companies will not be subject to the UCIS ban.
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FCA to ban retail promotion of UCIS and 'certain close substitutes'
- Tuesday, 04 June 2013
- Articles
The Financial Conduct Authority has published final rules which will ban the promotion of Unregulated Collective Investment Schemes (UCIS).
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