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Showing 11 to 20 of 435 search results for enforcement cases.
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Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
FCA bans Nigel Lewis and Susan Jones for incompetent British Steel Pension Scheme advice
The Financial Conduct Authority (FCA) has banned Nigel Lewis and Susan Jones of West Wales Financial Services Limited (in liquidation) (WWFS) from advising customers on pension transfers and pension opt outs. Mr Lewis has also been banned from -
Two individuals guilty of making £3m worth of fraudulent mortgage applications
Larry Barreto, based in the East Midlands, has been found guilty today of 11 charges of fraud by false representation following a prosecution brought by the FCA. -
FCA bans Geoffrey Armin for failures in advice given to British Steel Pension Scheme Members, with £200k to be paid in compensation
The Financial Conduct Authority (FCA) has banned Geoffrey Armin from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
Consumer Duty: Not once and done
Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps -
Collaborate to compete: why we must all embrace a growth mindset
Speech by Nikhil Rathi, Chief Executive, FCA, delivered at the City Dinner, Mansion House. -
FCA decides to fine and ban James Staley
Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case. -
FCA censures London Capital & Finance plc
The Financial Conduct Authority (FCA) has censured London Capital & Finance (LCF) for its unfair and misleading financial promotions of minibonds. -
Saluting our sisters for Black History Month
To mark Black History Month 2023, this blog by Therese Chambers offers a personal reflection and talks about our work to support positive change. -
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.