Showing 121 to 130 of 506 search results for Enforcement action.

121. FCA sets out proposals to strengthen its financial promotion rules for high-risk investments

     Press Releases Published: 29/04/2021 Last modified: 29/04/2021
     Read our proposals to help retail investors make more effective decisions on high-risk investments

122. Compliance, Culture and Evolving Regulatory Expectations

     Speeches Published: 26/04/2021 Last modified: 26/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

123. Cautious optimism for the post-pandemic world

     Speeches Published: 23/04/2021 Last modified: 23/04/2021
     Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.

124. Levelling the playing field – innovation in the service of consumers and the market

     Speeches Published: 20/04/2021 Last modified: 20/04/2021
     Speech by our CEO, Nikhil Rathi, to FinTech Week.

125. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

126. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

     Press Releases Published: 15/04/2021 Last modified: 15/04/2021
     The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

127. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

128. FCA confirms Finalised Guidance for advising on Defined Benefit transfers

     Financial advisers Life insurers and pension providers News stories Published: 30/03/2021 Last modified: 30/03/2021
     Defined Benefit Pension transfer guidance

129. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

130. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.