FCA
Wealth managers
The Financial Conduct Authority (FCA) has warned a bank manager that it intends to take action against him for failings in relation to an interest rate benchmark.
03 February 2014
•
2 min read
Wealth managers
The chairman of the Treasury Select Committee, Andrew Tyrie, has written to the Financial Conduct Authority head Martin Wheatley calling on the regulator to do more to crack down on banks' poor sales practices.
03 February 2014
•
2 min read
Wealth managers
State Street UK has been fined £22.9m by the Financial Conduct Authority (FCA) for overcharging clients on a range of financial transactions.
31 January 2014
•
1 min read
Investment
Not all products offering limited liquidity should be tarred with the same brush.
31 January 2014
•
2 min read
Wealth managers
A former investment adviser has been fined £19,900 and banned by the Financial Conduct Authority (FCA) for fabricating his Statement of Professional Standing by using a template he found online.
30 January 2014
•
2 min read
Wealth managers
The Financial Conduct Authority (FCA) has banned former BGC Partners senior executive Anthony Verrier due to concerns over his integrity, after he was found to have poached former colleagues from a rival firm.
29 January 2014
•
1 min read
Wealth managers
The Financial Conduct Authority (FCA) has fined Standard Bank £7.64m for failings relating to its anti-money laundering (AML) policies and to procedures with corporate customers who are connected to 'politically exposed persons'.
23 January 2014
•
2 min read
Wealth managers
The Financial Services Compensation Scheme (FSCS) has hit investment advisers with a £105m levy for 2014/15, an increase of 34% on the last levy.
21 January 2014
•
1 min read
