May 23, 20231 min readDirectors convicted in Collateral fraud caseFollowing a 5 week trial the two founders (Peter and Andrew Currie) of Collateral UK have been convicted of both fraud and money...
Feb 1, 20232 min readFCA highlights areas of focus for firms implementing the Consumer DutyFollowing on from the new Consumer Duty rules and guidance published by the FCA in July 2022 there is now less than six months to go...
Aug 15, 20221 min readNew FCA rules to improve the Appointed Representatives regimeEarlier this month the FCA published Policy Statement PS22/11 setting out new rules aimed at improving the Appointed Representatives (AR)...
Mar 15, 20221 min readTackling harm in the consumer investment marketThe FCA has taken decisive action to prevent harm in the consumer investment market and earlier this month revealed in its Consumer...
Jul 29, 20211 min readUnauthorised financial adviser sentenced to 4 years in prison for fraudulent tradingIan James Hudson, an unauthorised financial adviser, was this week found guilty of fraudulent trading by Judge Tomlinson at Southwark...
