Welcome to our monthly newsletter highlighting the latest developments in compliance and enforcement within the financial industry. In this edition, we delve into significant legal proceedings and regulatory actions aimed at upholding integrity and protecting investors.
Here's an overview of the updates:
- Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation
- Three charged over CFD trading pension fraud
- Finfluencers Charged for Unauthorised Trading Scheme Promotion
If you’d like to know more about how we can help you with your compliance arrangements, or any other regulatory compliance issues, our specialist team is here to help.
Contact us today on 0207 436 0630 or email info@thistleinitiatives.co.uk.