News
Search results
Showing 11 to 20 of 202 search results for take enforcement action against firms.
-
FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress
The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. -
How innovation and regulation in financial services can drive the UK's economic growth
Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023. -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
Countdown to the Consumer Duty
Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar -
Financial watchdog puts banks on alert in fight against money laundering via the Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by the FCA. -
FCA takes action against unregistered crypto ATM operators in Leeds
The Financial Conduct Authority (FCA) has used its powers to enter and inspect several sites around Leeds suspected of hosting illegally operated crypto ATMs. -
Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime
All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime. -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. -
FCA fines Santander UK £107.7 million for repeated anti-money laundering failures
The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers.