Showing 1 to 10 of 263 search results for enforcement action against firms.

1. Teamwork: A Smart way to tackle financial crime

   Speeches Published: 26/06/2024 Last modified: 26/06/2024
   Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit.

2. FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

   Press Releases Published: 24/06/2024 Last modified: 24/06/2024
   Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back.

3. FCA publishes Decision Notices against two individuals for acting without integrity in relation to pensions business

   Press Releases Published: 24/05/2024 Last modified: 24/05/2024
   The FCA has decided to ban Stephen Joseph Burdett and James Paul Goodchild from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.

4. FCA publishes response to British Steel Pension Scheme complaints

   Pensions Complaints News stories Published: 22/04/2024 Last modified: 22/04/2024
   The FCA has been investigating a number of complaints about our actions in relation to the British Steel Pension Scheme (BSPS).

5. Navigating the UK's Digital Regulation Landscape: Where are we headed?

   Speeches Published: 22/04/2024 Last modified: 23/04/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)

6. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

7. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

8. Shifting the dial on financial crime requires a collective push

   Blogs Published: 09/02/2024 Last modified: 09/02/2024
   Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime.

9. Duty calls: Future-proofing finance for everyone

   Press Releases Published: 28/12/2023 Last modified: 03/01/2024
   Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months.

10. Firms should strengthen anti-fraud systems and must treat victims of fraud better, review finds

    News stories Published: 07/11/2023 Last modified: 07/11/2023
    We are working with payment service providers to do more to protect consumers from fraud, including authorised push payment (APP) fraud