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  • FCA takes action over £23m unauthorised investment scheme

    The FCA has begun High Court proceedings over an alleged unauthorised investment scheme involving consumer investments of more than £23m in static homes.

  • West Yorkshire claims firm cancelled by FCA

    The FCA has this week stripped permission to carry out regulated business from a West Yorkshire-based claims management company called Fair Return Legal Services Limited (FRN 838208).

  • 1 in 2 advisers to use Targeted Support to boost growth

    Half (48%) of financial advisers expect the more relaxed regulatory framework brought about by Targeted Support to be an opportunity to attract new clients in the next 18 months, according to a new report.

  • Editor’s Comment: Chancellor has Consumer Duty in her sights

    I don’t think I was the only one a little surprised by the Chancellor’s decision this week to order a significant review of at least part of the Consumer Duty, which was only fully introduced in 2023.

  • 2 arrested as 7 crypto ATMs seized

     

    Two individuals have been arrested on suspicion of money laundering and running an illegal cryptoasset exchange.  

  • FCA fines Barclays £42m for financial crime risk failures

    The Financial Conduct Authority has fined Barclays Bank UK PLC and Barclays Bank PLC a total of £42m for major failings in their financial crime risk management including one relating to collapsed wealth manager WealthTek and one relating to Stunt & Co. 

  • FCA and FOS to ‘modernise’ the financial redress system

    The FCA and Financial Ombudsman Service are to ‘modernise the financial redress system’ to closer align their complaint processes.

  • FCA to cut SMCR red tape ahead of Government reforms

    The FCA and PRA have proposed changes to the Senior Manager Certification Regime (SMCR) ahead of expected legislative changes to the requirements.

  • FCA to open business capital raising to more retail investors

    The FCA is to go ahead with moves to encourage more retail investment in companies' capital raising by cutting red tape.

  • 43 FCA staff paid more than £200,000 last year

    A total of 43 FCA staff were paid more than £200,000 each last year, analysis of the regulator’s annual report by Financial Planning Today has revealed.

  • Editor’s Comment: ‘Scammed Britain’ facing an epic threat

    The sheer scale of the financial scams and cons facing the UK came home to me this week with the publication of the FCA’s latest report on the many suspect financial promotions it had tackled over the past year.

  • FCA closes 1,600 websites and 50 apps

    The FCA suspended, removed or blocked more than 1,600 websites last year where it suspected them of promoting financial services products and services without permission.

  • FCA to ‘modernise’ client categorisation rules

    The Financial Conduct Authority it to review its client categorisation rules to ‘unlock more opportunities for wealthy investors’.

  • Crypto firm fails after FCA action

    Partly-regulated crypto asset provider Ziglu Limited has entered special administration following FCA intervention.

  • Monzo fined £21m for inadequate anti-crime controls

    Challenger bank Monzo has been fined £21,091,300 for inadequate anti-financial crime systems and controls between October 2018 and August 2020.

  • Crypto crooks jailed for 12 years for £1.5m investment fraud

    Two individuals have been sentenced to a combined 12 years in jail for their roles in a £1.5m crypto fraud.

  • Ex-Janus Henderson analyst gets 6 years for insider dealing

    A former analyst at asset manager Janus Henderson and his sister have been jailed for a combined 11 years for insider dealing and money laundering which netted them more than £1m.

  • Advice guidance boundary review cost set to top £5.6m

    The Financial Conduct Authority is expecting to have spent over £5.5m on its advice guidance boundary review by April 2026.

  • FCA set to extend bullying rules to 37,000 firms

    The FCA has launched a consultation on plans to make serious bullying and harassment in financial firms a misconduct offence.

  • FCA fines on target for their lowest-ever level this year

    FCA fines are on course to hit their lowest annual total since the regulator was created in 2013, according to new analysis.

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