Showing 131 to 140 of 512 search results for enforcement action.

131. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

132. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

     Press Releases Published: 15/04/2021 Last modified: 15/04/2021
     The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

133. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

134. FCA confirms Finalised Guidance for advising on Defined Benefit transfers

     Financial advisers Life insurers and pension providers News stories Published: 30/03/2021 Last modified: 30/03/2021
     Defined Benefit Pension transfer guidance

135. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

136. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

137. FCA fines and prohibits trader for market abuse

     Press Releases Published: 04/03/2021 Last modified: 04/03/2021
     The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

138. FCA confirms the increase in thresholds for contactless payments

     Press Releases Published: 03/03/2021 Last modified: 03/03/2021
     The Financial Conduct Authority (FCA) has confirmed changes to its rules to allow for an increase in the single transaction contactless payment threshold from £45 to £100. The contactless threshold for multiple transactions will also increase from

139. FCA censures Premier FX for payment rule breaches

     Press Releases Published: 25/02/2021 Last modified: 26/02/2021
     The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

140. FCA returns funds to victims of unauthorised deposit taking and collective investment schemes

     Press Releases Published: 24/02/2021 Last modified: 26/02/2021
     The FCA has obtained High Court Approval to return £3.42 million to compensate victims of a series of unauthorised deposit taking and collective investment schemes.