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Compliance and Enforcement Monthly Newsletter May 2024

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:

- Individual charged with investment fraud over unauthorised multimillion pound ‘Kube Trading’ scheme

- FCA secures £533,000 to return to investors

- FCA bans and fines James Lewis £120,300 for putting investors at risk  

Independent Article feature

- Would you take financial advise from a Love Island star?

How can we help you?

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