Search results

Showing 42 to 51 of 106 search results for FCA fines and prohibits financial adviser.

42. Fines

    Table of fines with links to further information.

43. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

    Press Releases Published: 17/11/2014 Last modified: 17/11/2014
    The Financial Conduct Authority (FCA) has fined Chase de Vere Independent Financial Advisers Limited (Chase de Vere) £560,000 for failures surrounding the sale of Keydata products. ... These were distributed via a network of independent financial

44. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

45. Change or cancel an approval for a controlled function

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Find out how to change, withdraw or cancel approval for a controlled function, including a senior management function (SMF).

46. FCA fines RBS and NatWest for failures in mortgage advice process

    Press Releases Published: 27/08/2014 Last modified: 12/09/2014
    FCA fines RBS and NatWest for failures in mortgage advice process. ... The Financial Conduct Authority (FCA) has today fined The Royal Bank of Scotland and NatWest £14,474,600 for serious failings in their advised mortgage sales business.

47. Advantages of mainstream investments

    InvestSmart Last modified: 17/05/2022
    There are many kinds of mainstream investments, appealing to a broad range of consumers and offering a convenient way to target attractive long-term returns.

48. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    Former retail investment adviser, Ewan King, has been fined £19,900 and banned by the Financial Conduct Authority (FCA) from undertaking any regulated activity, after it was discovered that he had ... Mr King is the first adviser to be banned by the FCA

49. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.

50. FCA fines three money transfer firms for breaking competition law

    Press Releases Published: 30/11/2023 Last modified: 30/11/2023
    The FCA has today imposed fines on three money transfer firms after they admitted to fixing prices charged to consumers in Glasgow. 

51. FCA fines and bans wife and bans husband financial advisor for lack of integrity

    Press Releases Published: 12/10/2017 Last modified: 12/10/2017
    The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

52. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Two financial advisers banned and fined after investors lose out. Press Releases First published:. ... Two Surrey-based investments advisers have been fined a total of £885,000 and been banned by the Financial Conduct Authority (FCA) from holding any