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Showing 11 to 20 of 506 search results for Enforcement action.
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Shifting the dial on financial crime requires a collective push
Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime. -
Duty calls: Future-proofing finance for everyone
Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months. -
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. -
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. -
Consumer Duty: Not once and done
Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
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 censures London Capital & Finance plc
The Financial Conduct Authority (FCA) has censured London Capital & Finance (LCF) for its unfair and misleading financial promotions of minibonds.