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AI: Flipping the coin in financial services
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023. -
FCA bans Simon Hughes for failures in advice given to British Steel Pension Scheme Members
The FCA has banned Simon Hughes of S&M Hughes Limited (in liquidation) from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice
The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services. -
FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation
Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs. -
Calibrating controls to build confident markets
Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD. -
Two individuals face bans and £1.3m fine for pension transfer advice failings
The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process. -
FCA sets out expectations for UK cryptoasset businesses complying with the Travel Rule
We set out our expectations for crypto firms to comply with the Travel Rule. -
Watch out for signs of loan fee fraud as summer spending fuels financial pressure
With summer in full swing, the FCA launches its latest campaign to help consumers spot and avoid loan fee fraud. -
Financial watchdog wins civil case against Ponzi-like care home investment scheme
The High Court has ruled in favour of the FCA against Robin Forster, the director of a company which took £57 million from 380 investors in an illegal care home investment scheme.