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Showing 21 to 30 of 348 search results for Enforcement Decision.
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Two individuals face bans and £1.3m fine for pension transfer advice failings
The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process. -
Financial watchdog cracks down on problem firms and supports struggling borrowers
In the past year, the FCA has reduced harm to consumers and businesses by stopping 627 firms, that failed to meet the minimum standards, from operating. -
How innovation and regulation in financial services can drive the UK's economic growth
Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023. -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
Adviser Mark Abley pays £106k for poor pension transfer advice
The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers. -
Woodford Equity Income Fund investors to have their say
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FCA and PSR Boards appoint new members to decision-making committees
The FCA and PSR Boards have appointed two new Deputy Chairs - Margaret Obi and Edward Sparrow - to the FCA’s Regulatory Decisions Committee (RDC) and the PSR’s Enforcement Decisions Committee (EDC). -
FCA publishes Decision Notices for Banque Havilland SA and three of its former employees
The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200. -
Innovation, AI & the future of financial regulation
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the Innovate Finance Global Summit. -
Update on our public statement on the London Metal Exchange
The Financial Conduct Authority's update to its April 2022 statement on the London Metal Exchange