National accountancy firm MHA MacIntyre Hudson, which has a wealth management arm, has been censured by the FCA for failing to notify the FCA of rule breaches by firms it had audited.
Read more ...MHA MacIntyre Hudson censured by FCA over audit failures
- Thursday, 15 August 2024
- Articles
FCA removes CFD firm's permission over suitability failures
- Thursday, 15 August 2024
- Articles
The FCA has removed the regulatory permissions of high-risk investment firm Equitrade Markets Ltd (FRN 441877) due to concerns over failures to satisfy the suitability threshold condition.
Read more ...FCA bans ‘dishonest and reckless’ adviser
- Thursday, 15 August 2024
- Articles
The FCA has banned insurance adviser Martin Sarl from working in financial services and fined him £5,021 for acting without honesty and integrity.
Read more ...FCA fines high-risk investment firm for offering advice
- Wednesday, 14 August 2024
- Articles
The FCA has fined Cypriot contract for differences (CFD) firm Forex TB Limited (FXTB) £276,100 for not treating customers fairly and providing investment advice without authorisation.
Read more ...FCA warns of ‘multiple’ issues with cryptoasset marketing
- Friday, 09 August 2024
- Articles
The FCA says it has found “multiple instances” of cryptoasset firm failing to meet its marketing standards.
Read more ...London investment adviser loses authorisation
- Thursday, 08 August 2024
- Articles
London-based investment adviser Osiris Capital Partners LLP (FRN 478159) has had its authorisation revoked by the FCA after it failed to pay the regulator’s fees and levies.
Read more ...FCA financial promotions interventions double
- Thursday, 08 August 2024
- Articles
Interventions by the FCA on financial promotions have led to over double the number of promotions being amended or withdrawn by authorised firms in the second quarter of this year.
Read more ...Pensions shake-up: Experts expect pension boost
- Thursday, 08 August 2024
- Articles
A simple 'red, amber, green' traffic light system for pension scheme value could bring better clarity to workplace pensions and boost savings but may harm innovation, pensions experts say.
Read more ...FCA to add 100 more staff to Leeds workforce
- Wednesday, 07 August 2024
- Articles
The FCA is to add another 100 roles to its Leeds office, adding close to 50% to the number of staff based at the office.
Read more ...FCA’s Mills claims Consumer Duty a great success.
- Wednesday, 31 July 2024
- Articles
Sheldon Mills, executive director of consumers and competition at the FCA, has claimed that Consumer Duty has been a great success in a speech at an event celebrating the Duty’s anniversary.
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