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Showing 51 to 60 of 4222 search results for Pensions Ltd.

51. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    pension money and investments of retail customers. ... Similarly, in February we fined Forex Capital Markets and FXCM Securities Ltd £4m for allowing the US based FXCM Group to withhold profits that should have been passed on to FXCM

52. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

53. The golden rules of investing

    InvestSmart Last modified: 02/08/2022
    Whether you’re taking your first steps or are already an experienced investor, following these golden rules could really help you to InvestSmart.

54. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

55. Ashford Financial Group

    Warnings Published: 15/12/2011 Last modified: 21/08/2013
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

56. Fraudsters targeting Active Wealth (UK) Ltd clients

    News stories Published: 12/09/2018 Last modified: 14/09/2018
    Fraudsters targeting Active Wealth (UK) Ltd clients. News stories First published:. ... The fraudsters offer to assist the individuals to claim compensation for mis-sold pensions and investments.

57. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

58. Final Notice 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]

    Final notices Published: 02/12/2022
    This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We

59. Final Notice 2022: Eternal Peace Funeral Plans [pdf]

    Final notices Published: 23/12/2022
    This final notice (Eternal Peace Funeral Plans Ltd) refers to a failure to satisfy threshold conditions (COND) in relation to a firm within the Funeral Plans sector. We refused the firm’s application for authorisation.

60. Support for automated models

    Firms Published: 27/03/2022 Last modified: 10/02/2023
    If you’re developing an automated advice or guidance model, find out more about some of the firms previously supported and how Innovation Pathways can support you.