FCA
FCA bans duo for ‘recklessly breaching’ advice firm’s asset requirement
The firm’s bank accounts held no funds for customers who were owed redress
FCA bans and fines insurance broker director £1.1m for ‘misusing money’
The regulator said this action ‘shows how seriously we take individuals who abuse their position for personal gain and risk damaging the integrity of the UK’s financial system’
Tax & Regulation | 4 Nov 24
FCA warns hedge fund manager Crispin Odey over ‘lack of integrity’
A warning notice is not the final decision of the FCA
Tax & Regulation | 28 Oct 24
FCA fines CEO of Wise £350,000 for senior manager conduct failure
Wise is a multi-currency payment and banking system which claims 16m customers worldwide.
Regulation | 22 Oct 24
Industry reacts as FCA probes 20 social media influencers
The FCA also issued 38 alerts against social media accounts