The Upper Tribunal has agreed with the Financial Conduct Authority's (FCA) decision to impose a £409,300 penalty on Linear Investments for its lack of effective monitoring of potential market abuse.
The FCA issued a decision notice on the firm in June 2018 after accusing it of breaching rules between January 2015 and August 2015. The FCA said Linear did not appreciate the need to undertake its...
Two global vehicles
'Further plug advice gap'
Must appoint separate CEOs and boards
Advisers do come out well
Will report to Mark Till