Showing 201 to 210 of 769 search results for enforcement.

201. Compliance, Culture and Evolving Regulatory Expectations

     Speeches Published: 26/04/2021 Last modified: 26/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

202. Cautious optimism for the post-pandemic world

     Speeches Published: 23/04/2021 Last modified: 23/04/2021
     Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.

203. Levelling the playing field – innovation in the service of consumers and the market

     Speeches Published: 20/04/2021 Last modified: 20/04/2021
     Speech by our CEO, Nikhil Rathi, to FinTech Week.

204. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

205. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

     Press Releases Published: 15/04/2021 Last modified: 15/04/2021
     The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

206. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

207. FCA confirms Finalised Guidance for advising on Defined Benefit transfers

     Financial advisers Life insurers and pension providers News stories Published: 30/03/2021 Last modified: 30/03/2021
     Defined Benefit Pension transfer guidance

208. High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading

     Press Releases Published: 25/03/2021 Last modified: 08/04/2024
     The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.

209. FCA launches campaign to encourage individuals to report wrongdoing

     Press Releases Published: 24/03/2021 Last modified: 24/03/2021
     The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

210. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.