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The Financial Services Authority has arrested a 23-year-old man as part of an investigation into a suspected unauthorised foreign exchange trading scheme.
The pick of this week's articles on IFAonline...
A financial adviser has been fined £335,204 by the Financial Services Authority (FSA) after he deliberately retained insurance premium payments meant for the providers of the policies.
Other enforcement articles
The FSA has varied the permissions of national stockbroker Pritchard for failing to adequately protect client money.
Pave Financial Management is to have its permissions cancelled by the FSA following the mis-selling of unregulated collective investment schemes (UCIS), with two of its directors also being punished.
The Financial Services Authority (FSA) has fined an independent financial adviser £16,000 after his firm gave unsuitable advice on unregulated collective investment schemes (UCIS) and flouted rules related to who the schemes can be promoted to.
A mortgage adviser has been banned from conducting regulated activities after he failed to hand over copies of client files ahead of an FSA review.
The FSA has banned four mortgage brokers and imposed fined totalling £450,000 on three of them for knowingly using misleading and inaccurate information to secure mortgages.
The FSA has issued a warning about a Geneva-based firm which may be luring in UK customers who think they are dealing with wealth manager St James's Place.
The FSA collected £96.7m in fines in the 12 months to the end of March, almost trebling the £33.1m taken during the previous year.
An IFA has had her permissions to carry on regulated activities cancelled for failing to deal with 12 County Court Judgments (CCJ), totalling £531,224.
Five companies involved in unscrupulous property investment schemes which cost victims over £280,000 have been forced into liquidation following a government investigation.
The FSA has been forced to unconditionally apologise and pay compensation to a complainant after enforcement documents were delivered to her house after 9pm as part of a a case against her husband.
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