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Showing 11 to 20 of 261 search results for enforcement action against firms.
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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. -
Calibrating controls to build confident markets
Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD. -
Financial watchdog cracks down on problem firms and supports struggling borrowers
In the past year, the FCA has reduced harm to consumers and businesses by stopping 627 firms, that failed to meet the minimum standards, from operating. -
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. -
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. -
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 -
OPBAS publishes report on legal and accountancy sector supervision
In its fourth report, the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has found that professional bodies are continuing to demonstrate good levels of compliance with money laundering regulations but improvements in how