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FCA fines and bans Martin Sarl for dishonest and reckless conduct
The FCA has banned Martin Sarl from working in the financial services industry and fined him £5,021 for acting without honesty and integrity. Between 7 November 2017 and 24 October…
Unauthorised mortgage broker and others ordered to pay £4m by High Court
The FCA has secured an order of £4m against an unauthorised mortgage broker and its associates who exploited vulnerable consumers. London Property Investments (UK) Limited (LPI) and NPI Holdings Limited…
FCA sets out rules and proposals to build up UK wholesale markets
The FCA has introduced a comprehensive set of measures aimed at bolstering the UK's capital markets and enhancing its status as a dynamic global financial hub. Proposals for New Public…
Court sets dates for ‘finfluencer’ trials
The FCA has charged nine individuals in connection with an unauthorized forex trading scheme advertised on social media, and trials are now set to proceed. On July 11, 2024, during…
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
The FCA has decided to ban and fine three individuals involved in running SVS Securities Plc (SVS), a discretionary fund manager. SVS was responsible for managing investments on behalf of…
FCA fines CGML £27,766,200 for failures in its trading systems and controls
The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200. Failures in the firm's systems and controls led to the unintended sale of $1.4 billion in equities across European markets.…
FCA joins other regulators to warn firms on debt collection
In response to mounting cost-of-living pressures faced by consumers, we've collaborated with Ofgem, Ofwat, and Ofcom to outline our collective expectations for firms across various markets. We've united with fellow…
Silverbird Global Limited (SGL) enters special administration
On March 13, 2024, Silverbird Global Limited (SGL) underwent special administration under the Payment and Electronic Money Institution Insolvency Regulations 2021. Daniel Conway and Geoffrey Rowley from FRP Advisory Trading…