Search Results for: UK FCA
Publication of the PRA and FCA review into the failure of HBOS
November 19th, 2015
The Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) are today publishing the review into the failure of HBOS Group. This review was originally started by the former regulator, the Financial Services Authority (FSA). Its purpose is ...
FCA fines and bans former Investment Analyst at Aviva Investors
November 19th, 2015
The Financial Conduct Authority (FCA) has today fined Mothahir Miah, a former Investment Analyst at Aviva Investors Global Services Limited (Aviva Investors), £139,000 and banned him from performing any function in relation to any regulated activity in the financial ...
FCA‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
November 10th, 2015
The Financial Conduct Authority (FCA) has published plans for implementing a ‘regulatory sandbox’. The sandbox will allow businesses to test out new, innovative financial products, services or business models without incurring all the normal regulatory consequences of engaging in ...
Robo-advisor MoneyFarm raises EUR16m for UK launch
November 10th, 2015
Italian digital wealth management startup MoneyFarm is preparing to enter the UK market after raising EUR16 million from Cabot Square Capital and United Ventures. MoneyFarm is one of several robo-advisor outfits looking to disrupt the wealth management market by ...
FCA: Payday lender Dollar to provide £15.4 million redress to over 147,000 customers
October 26th, 2015
Dollar Financial UK (Dollar), trading as The Money Shop, Payday UK, Payday Express and Ladder Loans has agreed with the Financial Conduct Authority (FCA) to refund over £15.4 million to 147,000 customers, who may have suffered detriment as a ...
FCA has issued six warnings for unauthorised firms on the same day
October 23rd, 2015
The Financial Conduct Authority (FCA) of UK has issued six different warnings on the same day to inform investors and public for six different companies that FCA believes that they are providing financial services or products in the UK ...
FCA bans former UBS senior trader from any regulated financial activity
October 19th, 2015
The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry FCA UK, the financial regulatory authority of UK, has issued a press release to inform that: Following convictions on 20 November 2012 of two counts ...
FCA introduces new rules on whistleblowing
October 7th, 2015
The Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), has today published new rules in relation to whistleblowing. These changes follow recommendations in 2013 by the Parliamentary Commission on Banking Standards (PCBS) that banks put in place mechanisms to ...
FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer
September 23rd, 2015
The Financial Conduct Authority’s Acting Chief Executive Tracey McDermott today announced the final appointment to the FCA’s Executive Committee with Georgina Philippou becoming the new Chief Operating Officer. Georgina Philippou has been acting Director for Enforcement and Market Oversight ...
FCA: New Financial Services Register
September 8th, 2015
A new Financial Services Register makes it easier to find information on firms, individuals and other bodies that are, or have been, regulated by the PRA and/or the FCA. The new Register has one search field to help you find a ...
