Showing 21 to 30 of 262 search results for enforcement approach.

21. FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress

    Press Releases Published: 04/07/2023 Last modified: 04/07/2023
    The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. 

22. How innovation and regulation in financial services can drive the UK's economic growth

    Speeches Published: 29/06/2023 Last modified: 29/06/2023
    Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023.

23. One month to go for the Consumer Duty

    News stories Published: 28/06/2023 Last modified: 18/10/2023
    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.

24. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

    Press Releases Published: 28/06/2023 Last modified: 28/06/2023
    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. 

25. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.

26. FCA secures £130,000 to return to investors

    Press Releases Published: 17/05/2023 Last modified: 19/05/2023
    The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice.

27. Countdown to the Consumer Duty

    Speeches Published: 10/05/2023 Last modified: 10/05/2023
    Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar

28. FCA warns of impending Consumer Duty deadline

    Press Releases Published: 10/05/2023 Last modified: 10/05/2023
    With fewer than 90 days to go until the start of the Consumer Duty the Financial Conduct Authority (FCA) has urged firms to ensure they are ready for the 31 July deadline.

29. FCA sets out steps to improve whistleblower confidence

    Press Releases Published: 04/05/2023 Last modified: 04/05/2023
    The FCA sets out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on how it’s acted on their information; improving the use of information provided by whistleblowers; and improving

30. Regulation of Digital Assets in the UK

    Speeches Published: 25/04/2023 Last modified: 25/04/2023
    Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at City Week 2023.