Dentons | United Kingdom | 23 May 2014
FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and…
Dentons | United Kingdom | 17 Apr 2014
The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned…
Dentons | United Kingdom | 7 Feb 2014
FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an…
Dentons | United Kingdom | 22 Nov 2013
FCA has obtained an unlimited worldwide freezing order to stop a suspected boiler room, First Capital Wealth Limited, from putting consumers at risk…
Dentons | United Kingdom | 13 Jul 2012
FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland.
Dentons | United Kingdom | 4 May 2012
FSA has fined Christchurch Investment Management Limited (the firm) £26,000 and its former compliance officer David Thornberry £11,550 for breaches of its client money rules.
Dentons | United Kingdom | 24 Feb 2012
CPP Group PLC (CPP) announced the suspension of the listing of its shares, following discussions with FSA about its card protection and identity protection products.
Dentons | United Kingdom | 24 Feb 2012
FSA has obtained an interim injunction at the High Court against Stuart Carl Mudge and Anthony John Lewis relating to the Churchgate Trading Syndicate (Churchgate).
Dentons | United Kingdom | 16 Feb 2012
FSA has fined Nicholas Kyprios, Head of European Credit Sales at Credit Suisse in London £210,000 for improper market conduct.
Dentons | United Kingdom | 3 Feb 2012
FSA has fined and banned the former chief executive officer of J.C. Flowers & Co (UK) Ltd.