TPR bans corporate trustee for ‘serious’ failings
- Tuesday, 29 December 2020
- Articles

The Pensions Regulator (TPR) has banned corporate trustee Audax Pension Trust and one of its directors, Edward Martin Kelly, from acting as pension scheme trustees after multiple governance failures.
Read more...FCA fines and bans hedge fund CIO
- Thursday, 17 December 2020
- Articles

The Financial Conduct Authority has fined hedge fund chief investment officer Corrado Abbattista £100,000 for market abuse and banned him indefinitely from performing any regulated activity functions.
Read more...FCA bans former adviser for theft
- Thursday, 10 December 2020
- Articles

The Financial Conduct Authority has banned an ex-financial adviser Shruti Patel who stole £169,000 and operated in the sector under six aliases.
Read more...FCA bans 2 IFA directors over 'fabricated' SIPP submissions
- Monday, 12 October 2020
- Articles

The FCA has today banned indefinitely two directors of an IFA firm for their roles in submitting “false and misleading information” about customers’ high net worth status when making SIPP applications.
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