Two advisers fined total of £885,000 for Sipp-linked property debacle
- Friday, 18 October 2013
- Articles
A Sipp scheme was used by two Surrey-based investments advisers who have have been fined a total of £885,000 and been banned by the FCA from holding any position at a financial firm.
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FCA confirms it will use new power to name firms under investigation
- Tuesday, 15 October 2013
- Articles
The Financial Conduct Authority has confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action.
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FCA censures 'reckless' Catalyst and fines ex-compliance officer
- Friday, 04 October 2013
- Articles
The FCA has censured Catalyst Investment Group Limited for "recklessly misleading" investors who invested £54m in bonds offered by ARM Asset Backed Securities SA (ARM) in 2009 and 2010.
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FCA fines ICAP Europe £14m for LIBOR failings
- Wednesday, 25 September 2013
- Articles
The Financial Conduct Authority has hit ICAP Europe Limited (IEL) with a £14m fine for misconduct relating to the London Interbank Offered Rate (LIBOR).
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