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FCA halts business at IFA firm over 'fee' concerns

 

The FCA has stepped in to halt regulated business at a Staffordshire IFA firm allegedly taking unauthorised fees totalling over £250,000 from clients, some elderly and vulnerable.

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Trio face FCA fines over £5.9m SIPP transfer scam

 

The Financial Conduct Authority has warned two IFAs and a stockbroker that they face fines and regulatory action over their alleged role in a £5.9m SIPP pension transfer scam.

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Kingswood buys Surrey Chartered Financial Planner for £3.45m

Wealth manager and Financial Planner Kingswood is to acquire Surrey-based Chartered Financial Planner firm Regency Investment Services for £3.45m.

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SFO charges 3 - including former IFA - after fund probe

The Serious Fraud Office has charged three men, including ex-IFA David Kennedy, with multiple offences following a long-running investigation into the collapse of the £120m Axiom Legal Financing Fund.

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