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Reforms to financial services retail-disclosure requirements
The Government and FCA announce plans to reform UK retail disclosure rules and will temporarily exempt investment trusts from assimilated EU law requirements. -
Statement on forbearance in relation to investment trust disclosure requirements
This statement sets out our forbearance given the Government’s intention to exclude some investment trusts from the PRIIPs Regulation and other assimilated law. -
Frameworks for effective fraud prevention measures
Speech by Andrea Bowe, FCA director of the specialist directorate, at the Westminster Legal Policy Forum Keynote Seminar. -
FCA charges first individual with running a network of illegal crypto ATMs
The FCA has charged Mr Olumide Osunkoya for unlawfully running multiple crypto ATMs without FCA registration. -
FCA publishes decisions against 3 individuals, and fines and bans a fourth, for reckless pension transfer advice
The FCA has decided to ban 2 financial advisers and 2 partners at St Martin’s Partners LLP (SMP) from working in financial services, and collectively fine them £590,544. -
A targeted and outcomes-based approach to tackling financial crime
Speech by Sarah Pritchard, executive director, markets and executive director, international at the Financial Crime Summit, London. -
Upper Tribunal ruling on Thomas Llewellyn Kalaris
The Upper Tribunal ruled in the FCA’s favour on the refusal to allow Mr Kalaris to perform senior manager functions. -
PwC fined £15 million for failing to alert the FCA to suspected fraudulent activity at London Capital & Finance plc
The FCA has fined PricewaterhouseCoopers LLP (PwC) for failing to report to the regulator their belief that London Capital & Finance plc (LCF) might be involved in fraudulent activity. This is the first time the FCA has fined an audit firm. -
FCA censures auditor for failings in client asset reports
The FCA has censured the auditor Macintyre Hudson for failing to prepare client asset reports to the required standard. -
FCA fines FXTB for unfair customer treatment practices
Cypriot contract for differences firm Forex TB Limited has been fined £276,100 for failing to treat its customers fairly.