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The FCA has permanently banned Andrew Pearse and Surjan Singh from working in the UK financial services industry. The former Credit Suisse managing directors were banned after being found to…
A trial has been scheduled for September 2027 at Southwark Crown Court in the FCA’s criminal case against John Dance, the former principal partner of WealthTek LLP. John Dance was…
John Dance, former principal partner of WealthTek LLP, is set to stand trial in September 2027 at Southwark Crown Court following criminal charges brought by the FCA In December 2024,…
The FCA has imposed a £1,662,700 fine on Mako Financial Markets Partnership LLP (Mako) for failing to implement effective systems and controls to prevent financial crime. Despite having policies and…
The FCA has charged Mrs. Lisa Campbell with multiple criminal offences, including fraud by abuse of position and providing false or misleading information to conceal her misconduct. Mrs. Campbell, the…
Regulatory action intensified in 2024 as the FCA intervened in nearly 20,000 financial promotions, almost doubling the number from the previous year. The Financial Conduct Authority (FCA) has raised concerns…
The FCA has introduced proposals to simplify corporate bond issuance, making it easier for wealth managers and retail investors to invest in listed companies. The FCA is consulting on a…
The FCA has highlighted the need for wholesale brokers to strengthen their systems, controls, risk awareness, and training to combat money laundering effectively. In a recent review, the FCA emphasized…