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Showing 11 to 20 of 114 search results for taking enforcement action against firms.
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PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action. -
FCA warns Buy Now Pay Later firms about misleading adverts
Although some agreements are unregulated the financial promotions of all BNPL products must comply with the rules. -
How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London. -
Five individuals banned and fined for causing losses to pension customers
The FCA has prohibited five directors of financial advice firms from working in financial services and fined them over £1 million, after they caused significant losses to pension customers. -
New financial sanctions measures in relation to Russia
Following the Prime Minister’s statement to the House of Commons on 22 February 2022, the UK has announced a tranche of sanctions on Russia. -
Partnerships, priorities and predictions for the future in the pensions market
Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
The risks of token regulation
Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.