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Showing 141 to 150 of 348 search results for Enforcement Decisions.

  1. Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth

    Press Releases Published: 16/08/2019 Last modified: 07/08/2020
    The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity.

  2. London Capital and Finance plc

    News stories Published: 14/08/2019 Last modified: 02/02/2022
    On 30 January 2019, London Capital and Finance plc (LCF) appointed joint administrators who will contact all affected parties in due course

  3. 5 million pension savers could put their retirement savings at risk to scammers

    Press Releases Published: 07/08/2019 Last modified: 07/08/2019
    The FCA and The Pensions Regulator are warning the public about fraudsters targeting people’s retirement savings. This warning comes as new research suggests that 42% of pension savers, which would equate over 5 million people across the UK, could

  4. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  5. Andrew Bailey speech at the Annual Public Meeting 2019

    Speeches Published: 17/07/2019 Last modified: 17/07/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting.

  6. FCA publishes Annual Report and Accounts 2018/19

    Press Releases Published: 09/07/2019 Last modified: 04/09/2020
    The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2018/19.

  7. A changing landscape: the FCA’s strategic priorities for the pensions sector

    Speeches Published: 04/07/2019 Last modified: 04/07/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at Pensions and Benefits UK 2019.

  8. Independent reviews of Interest Rate Hedging Products and the Connaught Income Fund Series 1

    Press Releases Published: 20/06/2019 Last modified: 20/06/2019
    The FCA has appointed Independent Reviewers for the lessons learned reviews commissioned by the FCA’s Board. One review will cover the redress scheme for Interest Rate Hedging Products and the other will cover the regulation of firms involved

  9. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

    Press Releases Published: 03/06/2019 Last modified: 03/06/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

  10. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.