Financial adviser Denis Lee Morgan has been banned by the FCA from advising on pension transfers and opt outs following British Steel Pension Scheme advice failings.
Read more ...FCA's 'Top 10' Consumer Duty questions
- Wednesday, 28 June 2023
- Articles
The FCA has shared 10 questions for firms to consider ahead of its new Consumer Duty which comes into force on 31 July.
Read more ...FCA to impose 24 hour 'cooling off' period on crypto
- Thursday, 08 June 2023
- Articles
The FCA is to introduce tougher rules on cryptoasset marketing from October with a new ‘cooling off’ period added for first-time investors.
Read more ...PIMFA warns FCA proposals threaten MPS
- Thursday, 25 May 2023
- Articles
FCA proposals to align rules for fund managers and discretionary investment managers pose a “material threat” to managed portfolio services, according to wealth management trade association PIMFA.
Read more ...Brothers convicted over £750,000 scam investment firm
- Tuesday, 23 May 2023
- Articles
Two brothers have been convicted of fraud and money laundering after taking £750,000 out of a failed peer-to-peer style investment firm.
Read more ...FCA upholds ban on convicted ex-Quilter rep
- Tuesday, 23 May 2023
- Articles
The FCA has rejected an attempt by convicted fraudster and former Quilter worker David Nicholas King to regain authorisation so he could work for a chartered surveying firm.
Read more ...FSCS opens investigation into investment firm
- Thursday, 11 May 2023
- Articles
The Financial Services Compensation Scheme has launched an investigation into City-based investment firm Pello Capital (FRN 449720) after FCA concerns about fraud and money laundering.
Read more ...FCA to boost whistleblower support
- Thursday, 04 May 2023
- Articles
The FCA is planning a raft of measures to improve support for whistleblowers to give them more confidence in coming forward.
Read more ...FCA to loosen rules to boost UK listings
- Wednesday, 03 May 2023
- Articles
The Financial Conduct Authority has proposed “significant changes” to the UK listing regime to encourage more companies to list in the UK.
Read more ...FCA moves to halt 'no-client' Mayfair financial adviser
- Friday, 28 April 2023
- Articles
The FCA has moved to provisionally halt regulated business at Mayfair-based financial adviser Kingsbridge Capital Advisors Ltd (KCAL) over alleged non payment of FCA fees.
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