UK FCA Regulatory
Material regulatory developments from Financial Conduct Authority are tracked daily by Cresthaven Analytics. Over the last 90 days, 20 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
A selection of recent published briefs; this is not a complete archive.
UK FCA Regulatory release pending Cresthaven Analytics full analysis: Firms crack down on money mules but need to do more
UK FCA Regulatory published a regulatory release titled 'Firms crack down on money mules but need to do more'. Cresthaven Analytics' full intelligence brief is pending re-analysis; see the source link below for the compl…
Read the full UK FCA Regulatory brief →FCA acts against two debt advice firms and issues sector-wide red-flag warning for consumers
The FCA published a consumer-facing warning on September 22, 2026 identifying conduct red flags in the debt advice market, alongside enforcement actions against Curtis Faraday and Beauforce Corporation Limited. This sign…
Read the full UK FCA Regulatory brief →FCA initiates High Court proceedings against Hunter Jones for alleged unauthorised regulated activity in loan notes
The FCA filed High Court proceedings on September 21, 2026 against Osborne Baldwin Limited, trading as Hunter Jones and Hunter Jones Group. The firm allegedly sells loan notes while conducting regulated activity without …
Read the full UK FCA Regulatory brief →FCA, HMRC, and Metropolitan Police raid three London premises for unregistered peer-to-peer crypto trading
The FCA, working with HMRC and the Metropolitan Police Service, raided three London premises on September 10, 2026 on suspicion of illegal peer-to-peer crypto trading under the Money Laundering, Terrorist Financing and T…
Read the full UK FCA Regulatory brief →FCA opens formal AML investigation into Euro Exchange Securities UK Ltd following court-ordered administration
The FCA announced on 17 September 2026 that it has opened a formal investigation into Euro Exchange Securities UK Ltd for potential offences under the UK money laundering regulations, covering the period 1 February 2020 …
Read the full UK FCA Regulatory brief →FCA publishes cryptoasset perimeter guidance ahead of September 2026 authorisation gateway opening
The FCA published cryptoasset perimeter guidance on September 16, 2026, clarifying which activities require authorisation under the UK's incoming cryptoasset regime. The authorisation gateway opens September 30, 2026, wi…
Read the full UK FCA Regulatory brief →FCA bans Nurul Miah from financial services following SRA findings of £28m client money misappropriation
The FCA issued a Final Notice on September 15, 2026 banning Nurul Miah, also known as Neil Mia and Neil Miah, from all financial services activity. The ban follows Solicitors Regulation Authority findings that Miah disho…
Read the full UK FCA Regulatory brief →FCA confirms Premier Payment Solutions Ltd entered liquidation on 10 September 2026, ceasing money-remittance operations
The FCA confirmed on 14 September 2026 that Premier Payment Solutions Ltd — trading as PPS Money and MTBS — entered liquidation on 10 September 2026. Bai Cham and Gary Shankland of BTG Begbies Traynor were appointed join…
Read the full UK FCA Regulatory brief →Upper Tribunal upholds FCA ban on Crispin Odey, reducing the penalty to £1.53 million
The Upper Tribunal upheld the FCA's prohibition of Crispin Odey from financial services on September 14, 2026, finding he lacked integrity across all five allegations. The Tribunal reduced the proposed fine from £1.83 mi…
Read the full UK FCA Regulatory brief →FCA secures guilty plea on fraud and forgery charges tied to fabricated takeover bid for AIM-listed Touchstone Exploration
The FCA announced on September 10, 2026 that Christopher Woolcott pleaded guilty at Westminster Magistrates' Court to one count of fraud by false representation and three counts of making a false instrument. Woolcott fab…
Read the full UK FCA Regulatory brief →FCA bans and fines Daniel Thomas £742,700 for reckless unauthorised defined benefit pension transfer advice
The FCA has banned Daniel Thomas from financial services and imposed a £742,700 fine for recklessly providing defined benefit pension transfer advice without qualification or authorisation. The action targets individual …
Read the full UK FCA Regulatory brief →FCA-authorised discretionary investment manager EGR Wealth Limited enters administration with joint administrators appointed from Kroll Advisory
EGR Wealth Limited entered administration on 24 August 2026. The FCA published a consumer notice confirming this on 26 August 2026, with Robert Goodhew and Geoff Bouchier of Kroll Advisory Limited appointed as joint admi…
Read the full UK FCA Regulatory brief →FCA bans three former Dolfin Financial senior figures over £35.5m investor visa circumvention scheme
The FCA has issued prohibition orders against former Dolfin Financial chief executive Denisz Nagy, former finance director Sanjay Maraj, and co-founder Roman Joukovski for operating a scheme that enabled at least 99 indi…
Read the full UK FCA Regulatory brief →FCA issues Final Notice banning and fining former SVS Securities CEO for pension fund mismanagement
The FCA issued a Final Notice on 19 August 2026 banning Demetrios Hadjigeorgiou and fining him £56,400 for failures in managing SVS Securities. This action confirms the FCA's enforcement position on senior manager accoun…
Read the full UK FCA Regulatory brief →FCA issues lifetime ban against Beauforce senior manager following High Court disqualification and concealment of fabricated evidence
The FCA has banned Howard Roland Duckett from working in financial services for serious dishonesty and lack of integrity. The prohibition follows a High Court director disqualification that Duckett failed to disclose to …
Read the full UK FCA Regulatory brief →FCA bans and fines two Blue Horizon Asset Management executives for falsifying acquisition documents and misleading regulators
The FCA issued final notices on August 14, 2026, banning Paul Taylor and Esmeralda Toni of Blue Horizon Asset Management from all regulated-activity functions. Taylor was fined £489,000 and Toni £121,200 for dishonest co…
Read the full UK FCA Regulatory brief →FCA publishes T+1 readiness assessment finding uneven preparation across UK market participants ahead of October 2027 deadline
The FCA published a blog on 13 August 2026 reporting on its supervisory engagement with buy-side and sell-side firms, financial market infrastructures, third-party service providers, and trade associations on T+1 readine…
Read the full UK FCA Regulatory brief →FCA escalates supervisory scrutiny of Annex 1 firms across financial crime controls and registration compliance
The FCA published a supervisory statement on August 7, 2026 announcing heightened scrutiny of Annex 1 firms, which include unregulated lenders, safe custody providers, money brokers, and financial leasing companies. The …
Read the full UK FCA Regulatory brief →FCA removes 7-day connected research waiting period and simplifies IPO information-sharing rules effective 5 August 2026
PS26/16, published by the FCA on 5 August 2026, amends information-flow requirements for UK equity IPOs. The changes take effect immediately, removing the 7-day waiting period for connected research and simplifying issue…
Read the full UK FCA Regulatory brief →Upper Tribunal upholds FCA lifetime bans on pension transfer advisers Dunne and Fenech while reducing fines
The Upper Tribunal confirmed FCA prohibition orders against Heather Dunne and Richard Fenech on August 4, 2026, following findings of dishonesty, unsuitable pension transfer advice, and inadequate oversight. The Tribunal…
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