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Showing 62 to 71 of 85 search results for fines for complaint mishandling.

  1. Fines

    Table of fines with links to further information.

  2. 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.

  3. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Specifically, in some cases there was absolutely no link. Economically, this seemed surprising.FCA disciplinary action should be bad for reputations and revenues, and fines harm profits further.The management should, ... To increase the salience of

  4. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Diversity and inclusion: Driving change in our industry

    Speeches Published: 22/11/2022 Last modified: 23/11/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the ABI D&I Conference.

  6. FCA operating service metrics 2021/22

    Data Published: 19/07/2022 Last modified: 20/12/2023
    The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22.

  7. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

    Press Releases Published: 15/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.

  8. Consumer credit regulation: the journey so far

    Speeches Published: 08/04/2016 Last modified: 08/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Credit Summit 2016 on 7 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Redress package agreed for consumers mis-sold CPP insurance products

    Press Releases Published: 22/08/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has reached an agreement with Card Protection Plan Limited (CPP) and 13 high street banks and credit card issuers that will pave the way for redress to be paid to customers who were mis-sold CPP’s Card Protection

  10. Information on enforcement on transparency of consumer facing documents - June 2022

    FOI Release Date of Release: 13/06/2022
    The FCA provides information on its enforcement of section 68 of the Consumer Rights Act 2015 in relation to the 'transparency' of consumer-facing documents.

  11. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

    Press Releases Published: 13/12/2013 Last modified: 08/11/2016
    The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices. ... Acting on information from consumer complaints, the FCA's predecessor body, the Financial Services Authority (FSA), insisted Porta Verde take