Showing 41 to 50 of 161 search results for potential enforcement action.

41. FCA fines Crosfill & Archer Claims Limited £110,000

    Press Releases Published: 28/06/2021 Last modified: 28/06/2021
    The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000.

42. The rise in scams and the threat to a legitimate financial services industry

    Speeches Published: 18/05/2021 Last modified: 18/05/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit.

43. FCA proposes stronger protection for consumers in financial markets

    Press Releases Published: 14/05/2021 Last modified: 14/05/2021
    Plans for a new Consumer Duty which will set a higher level of consumer protection in retail financial markets

44. FCA sets out proposals to strengthen its financial promotion rules for high-risk investments

    Press Releases Published: 29/04/2021 Last modified: 29/04/2021
    Read our proposals to help retail investors make more effective decisions on high-risk investments

45. 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.

46. 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.

47. 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.

48. 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.

49. Why does the FCA care about diversity and inclusion?

    Speeches Published: 28/01/2021 Last modified: 28/01/2021
    Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, given at the Ethnic Diversity in the City and Corporate UK Summit.

50. FCA issues warning over ‘clone firm’ investment scams

    Press Releases Published: 27/01/2021 Last modified: 27/01/2021
    With over £78 million stolen in clone firm investment scams and the number of reports for this scam type on the rise, we warn the public