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Showing 11 to 20 of 57 search results for Enforcement Guide.
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FCA prohibits and fines Omar Hussein for pension switching advice failings
The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000. -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
FCA to move faster to remove unused firm permissions
The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms. -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
FCA confirms Finalised Guidance for advising on Defined Benefit transfers
Defined Benefit Pension transfer guidance -
FCA responds to High Court decision to stay proceedings in enforcement case
The Claimants issued a judicial review to challenge a decision by the FCA’s Regulatory Decisions Committee not to stay the regulatory proceedings against the first Claimant. -
FCA regulation of consumer credit – during the pandemic and beyond
Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference -
Policy development update
The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive. -
A financial system to support the recovery
Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.