Showing 1 to 10 of 550 search results for its enforcement.

1. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

2. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

   Speeches Published: 14/03/2024 Last modified: 14/03/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

3. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

   Press Releases Published: 11/03/2024 Last modified: 11/03/2024
   The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

4. FCA to improve pace and transparency around enforcement cases

   Press Releases Published: 27/02/2024 Last modified: 27/02/2024
   The Financial Conduct Authority (FCA) has today committed to carrying out enforcement cases more quickly as the organisation seeks to increase the deterrent impact of its enforcement actions.

5. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

6. Duty calls: Future-proofing finance for everyone

   Press Releases Published: 28/12/2023 Last modified: 03/01/2024
   Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months.

7. FCA responds to the Complaints Commissioner’s Final Report into Premier FX Limited

   Statements Published: 18/12/2023 Last modified: 18/12/2023
   We have responded to the Financial Regulators Complaints Commissioner's Final Report into complaints from those affected by the collapse of Premier FX Limited in 2018.

8. FCA writes to the Treasury Committee on Blackmore Bonds

   Statements Published: 06/12/2023 Last modified: 06/12/2023
   The FCA has written to the Treasury Committee about its decision not to take enforcement action following investigations into NCM Fund Services Ltd and Northern Provident Investments Ltd.

9. Scammers looking to exploit financial stress at Christmas, FCA warns

   Scams Press Releases Published: 06/12/2023 Last modified: 06/12/2023
   The FCA warns of the risk of loan fee fraud as almost two-thirds of parents feel pressured to spend above their means at Christmas.

10. Statement on communications in relation to PRIIPs and UCITS

    Statements Published: 30/11/2023 Last modified: 30/11/2023
    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.