Corporate finance contacts: How the FCA’s guidance changes the game
The Financial Conduct Authority (FCA) has just published its multi-firm review of client categorisation in corporate finance firms. There...
Notice in a nutshell: Experienced investor relations team member fined and prohibited by FCA for insider dealing
On 13 October 2025, the Financial Conduct Authority (FCA) issued a Final Notice to Neil Dwane, imposing a financial penalty of £100,281...
Notice in a Nutshell: Investment manager’s failure to manage conflicts of interest leads to FCA censure and redress requirement
On 13 October 2025, the Financial Conduct Authority (FCA) published a Final Notice in respect of BlueCrest Capital Management (UK) LLP...
Notice in a nutshell: FCA fines director for lack of integrity
On 22 July 2025, the Financial Conduct Authority (FCA) issued a Final Notice to Mr Alba, imposing a fine of £1,049,500 and prohibiting...
Notice in a nutshell: Broker fined for MiFIR transaction reporting failures
The Financial Conduct Authority (FCA) has published a Final Notice regarding a financial penalty imposed on Sigma Broking Limited for...
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