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Showing 1 to 11 of 658 search results for investment adviser and pensions sector.

  1. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

  2. A changing landscape: the FCA’s strategic priorities for the pensions sector

    Speeches Published: 04/07/2019 Last modified: 04/07/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at Pensions and Benefits UK 2019.

  3. Pension lifestyle investment strategies – our findings

    Multi-firm reviews Published: 14/06/2017 Last modified: 14/06/2017
    Findings from our review of life insurance companies’ pension lifestyle investment strategies.

  4. Pensions and Retirement income: our guidance for firms

    Life insurers and pension providers Published: 07/04/2020 Last modified: 13/02/2023
    The FCA's guidance for pension providers and DB transfer advisers, as the coronavirus (Covid-19) pandemic develops.

  5. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  6. Final Notice 2022: Robert Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial

  7. Final Notice 2022: Aiden Henderson [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  8. Final Notice 2022: Thomas Henry Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  9. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a

  10. FCA Decision Notice 2016: Alistair Rae Burns [pdf]

    Decision notices Published: 01/12/2016
    This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be

  11. Final Notice 2022: Andrew Mark Thomas Page [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Andrew Mark Thomas Page) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and
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