Showing 1 to 10 of 200 search results for take enforcement action against firms.

1. FCA publishes response to British Steel Pension Scheme complaints

   Pensions Complaints News stories Published: 22/04/2024 Last modified: 22/04/2024
   The FCA has been investigating a number of complaints about our actions in relation to the British Steel Pension Scheme (BSPS).

2. Navigating the UK's Digital Regulation Landscape: Where are we headed?

   Speeches Published: 22/04/2024 Last modified: 23/04/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)

3. 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.

4. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

5. Shifting the dial on financial crime requires a collective push

   Blogs Published: 09/02/2024 Last modified: 09/02/2024
   Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime.

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 takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice

   Press Releases Published: 28/09/2023 Last modified: 28/09/2023
   The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services.

8. Calibrating controls to build confident markets

   Speeches Published: 06/09/2023 Last modified: 06/09/2023
   Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.

9. 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. 

10. 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.