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Showing 11 to 20 of 348 search results for Enforcement Decisions.
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FCA writes to the Treasury Committee on Blackmore Bonds
The FCA has written to the Treasury Committee about its decision not to take enforcement action following investigations into NCM Fund Services Ltd and Northern Provident Investments Ltd. -
Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
FCA and PSR Boards appoint new members to decision-making committees
Ulrike Hotopp and Claire Whyley have been appointed to the FCA’s and PSR’s Competition Decisions Committees (CDCs) -
Firms should strengthen anti-fraud systems and must treat victims of fraud better, review finds
We are working with payment service providers to do more to protect consumers from fraud, including authorised push payment (APP) fraud -
FCA bans Geoffrey Armin for failures in advice given to British Steel Pension Scheme Members, with £200k to be paid in compensation
The Financial Conduct Authority (FCA) has banned Geoffrey Armin from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
Collaborate to compete: why we must all embrace a growth mindset
Speech by Nikhil Rathi, Chief Executive, FCA, delivered at the City Dinner, Mansion House. -
FCA decides to fine and ban James Staley
Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case. -
FCA bans Simon Hughes for failures in advice given to British Steel Pension Scheme Members
The FCA has banned Simon Hughes of S&M Hughes Limited (in liquidation) from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice
The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services.