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Showing 31 to 40 of 506 search results for Enforcement action.
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The Financial Conduct Authority continues crackdown on unregistered crypto ATMs in the UK
Since the start of 2023, the Financial Conduct Authority (FCA) has visited and inspected 34 locations across the UK suspected of hosting crypto ATMs. -
FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress
The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. -
How innovation and regulation in financial services can drive the UK's economic growth
Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023. -
One month to go for the Consumer Duty
The Consumer Duty comes into force on 31July for new and existing products and services that are open for sale or renewal. Read more about how firms should be preparing. -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
Woodford Equity Income Fund investors to have their say
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Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
FCA secures £130,000 to return to investors
The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice. -
Countdown to the Consumer Duty
Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar