FCA
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Westwood Independent Financial Planners Fined £100,000 by the Financial Conduct Authority
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For communications and suitability failings in relation to geared traded endowment policies (GTEPs).

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Guaranty Trust Bank (UK) Limited Fined £525,000 by the Financial Conduct Authority
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For failings in its anti-money laundering (AML) controls for high risk customers

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EFG Private Bank Fined £4,200,000 by the Financial Conduct Authority
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For failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers.

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Bentley – Leek Financial Management Limited Fined £885,000 and Banned by the Financial Conduct Authority
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BLFM is failing to satisfy the threshold conditions set out in Schedule 6 of the Act. In particular, BLFM is failing to satisfy Threshold Condition 4 ...

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FCA warns against Alliance Trust Savings Limited clone Firm
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Not Authorised or Registered Firm by FCA

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FCA warns against GalaFX Ltd
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Fraudulent, Unregulated

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