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Updated: 17 min 27 sec ago

Regulation round-up October 2017

6 hours 46 min ago
Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

Review of debt management sector gets underway

10 hours 46 min ago
We are undertaking a thematic review of the debt management sector, in line with the commitment in our 2017/18 Business Plan.  

FCA reveals findings from its first Financial Lives Survey

Wed, 10/18/2017 - 11:00
The Financial Conduct Authority (FCA) has today published the results of its Financial Lives Survey 2017.

My Finance (clone of authorised firm)

Wed, 10/18/2017 - 10:32
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

Tue, 10/17/2017 - 22:01
The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 

Investment Association Annual Dinner 2017

Tue, 10/17/2017 - 20:00
Speech by Andrew Bailey, Chief Executive of the FCA, at the Investment Association Annual Dinner 2017.

RTC finance/ Icon markets/ First World Consultants Limited (clone of authorised firm)

Mon, 10/16/2017 - 16:00
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Ageing population and financial services

Mon, 10/16/2017 - 14:30
Speech by Linda Woodall, Director of Life Insurance and Financial Advice, delivered at the Ageing Population Occasional Paper launch event. 

Improvement Loans (clone of authorised firm)

Mon, 10/16/2017 - 14:00
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

FCA launches the Asset Management Authorisation Hub

Mon, 10/16/2017 - 10:30
The Financial Conduct Authority (FCA) has today launched its new asset management authorisation hub.

Forest Advisory Service / Forest Hill Investments / Forest Hill Management

Thu, 10/12/2017 - 16:48
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Loan 4 Help

Thu, 10/12/2017 - 15:16
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

FCA fines and bans wife and bans husband financial advisor for lack of integrity

Thu, 10/12/2017 - 10:00
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA interview.

Way to Finance (clone)

Wed, 10/11/2017 - 14:53
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Alliance Trust Savings Limited (clone)

Wed, 10/11/2017 - 14:52
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Aston Wealth

Mon, 10/09/2017 - 16:00
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

CTI Group Advisors

Mon, 10/09/2017 - 15:50
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Chinatsu & Partners

Mon, 10/09/2017 - 10:25
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Ellis and Tate

Fri, 10/06/2017 - 15:03
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Cedar Call (clone)

Fri, 10/06/2017 - 14:54
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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