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    65 results for: financial service regulation
    FCA motor finance redress scheme: Nine points to help firms navigate the proposals
    10/8/2025 10:57:37 AM

    FCA motor finance redress scheme: Nine points to help firms navigate the proposals

    By Matthew Gregory Katie Stephen Joe Bamford Simon Lovegrove +1 more...

    Show less

    The FCA’s consultation paper on a motor finance consumer redress scheme (the Scheme) has now been published in CP 25/27. The FCA’s...
    37
    37
    Notice in a nutshell: FCA fines director for lack of integrity
    9/30/2025 3:21:33 PM

    Notice in a nutshell: FCA fines director for lack of integrity

    By Katie Stephen
    On 22 July 2025, the Financial Conduct Authority (FCA) issued a Final Notice to Mr Alba, imposing a fine of £1,049,500 and prohibiting...
    18
    18
    Notice in a nutshell: PRA fines reinsurer's London branch after post-Brexit governance failings
    9/25/2025 4:19:06 PM

    Notice in a nutshell: PRA fines reinsurer's London branch after post-Brexit governance failings

    By Katie Stephen
    On 28 July 2025, the Prudential Regulation Authority (PRA) published a Final Notice in respect of the London branch of Barents...
    1
    3
    3
    Notice in a nutshell: Sigma Broking Limited
    8/28/2025 8:54:45 AM

    Notice in a nutshell: Sigma Broking Limited

    By Katie Stephen
    The Financial Conduct Authority (FCA) has published a Final Notice regarding a financial penalty imposed on Sigma Broking Limited for...
    3
    3
    Notice in a nutshell: Neil Woodford and Woodford Investment Management Limited
    8/20/2025 1:55:58 PM

    Notice in a nutshell: Neil Woodford and Woodford Investment Management Limited

    By Katie Stephen
    On 5 August 2025, the Financial Conduct Authority (FCA) published Decision Notices issued to Neil Woodford and Woodford Investment...
    2
    2
    Notice in a nutshell: Win for FCA in spoofing case
    8/12/2025 3:03:20 PM

    Notice in a nutshell: Win for FCA in spoofing case

    By Katie Stephen
    On 1 July 2025, the Upper Tribunal (UT) released its judgment in relation to spoofing activity carried out by three bond traders,...
    1
    7
    7
    Notice in a nutshell: Vocalink Limited
    8/1/2025 10:34:35 AM

    Notice in a nutshell: Vocalink Limited

    By Katie Stephen
    On 9 July 2025, the Bank of England (BoE) published a Final Notice in respect of Vocalink Limited (the firm), imposing a fine of £11.9...
    Notice in a nutshell: Metro Bank's former directors fined for role in Listing Rules breaches
    7/24/2025 2:02:44 PM

    Notice in a nutshell: Metro Bank's former directors fined for role in Listing Rules breaches

    By Katie Stephen Chris Pearson
    On 16 June 2025, the Upper Tribunal released its decision in respect of referrals by the former CEO of Metro Bank, Craig Donaldson, and...
    4
    4
    City Week 2025: Key takeaways on digital assets and regulation
    7/7/2025 1:53:55 PM

    City Week 2025: Key takeaways on digital assets and regulation

    By Jonathan Herbst
    City Week 2025 returned for its 15th edition from 30 June to 2 July in London, bringing together over 1,000 senior decision-makers from...
    4
    4
    FCA updates its Enforcement Guide
    6/5/2025 1:25:29 PM

    FCA updates its Enforcement Guide

    By Katie Stephen Joe Smallshaw Catherine Pluck
    The Financial Conduct Authority (FCA) has published the updated version of its Enforcement Guide (now to be known under the new acronym...
    31
    31
    Notice in a nutshell: FCA imposes restrictions on broker
    5/14/2025 3:25:24 PM

    Notice in a nutshell: FCA imposes restrictions on broker

    By Katie Stephen Rebecca Dulieu
    On 2 May 2025, the Financial Conduct Authority (FCA) published a First Supervisory Notice (FSN) in respect of Direct Trading Technologies...
    6
    6
    FCA sends a clear message on non-financial misconduct
    3/19/2025 4:55:22 PM

    FCA sends a clear message on non-financial misconduct

    By Katie Stephen
    On the same day as HM Treasury’s publication of an action plan setting out a ‘new approach’ to ensure regulators support growth, the...
    46
    46
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