Showing 11 to 20 of 322 search results for will not take enforcement action.

11. 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.

12. 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.

13. Statement on communications in relation to PRIIPs and UCITS

    Statements Published: 30/11/2023 Last modified: 30/11/2023
    Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

14. FCA bans Geoffrey Armin for failures in advice given to British Steel Pension Scheme Members, with £200k to be paid in compensation

    Press Releases Published: 03/11/2023 Last modified: 03/11/2023
    The Financial Conduct Authority (FCA) has banned Geoffrey Armin from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm.

15. Consumer Duty: Not once and done

    Speeches Published: 01/11/2023 Last modified: 01/11/2023
    Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps

16. FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice

    Press Releases Published: 28/09/2023 Last modified: 28/09/2023
    The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services.

17. FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

    Press Releases Published: 13/09/2023 Last modified: 13/09/2023
    Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs.

18. Calibrating controls to build confident markets

    Speeches Published: 06/09/2023 Last modified: 06/09/2023
    Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.

19. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process.

20. FCA sets out expectations for UK cryptoasset businesses complying with the Travel Rule

    Statements Published: 17/08/2023 Last modified: 01/09/2023
    We set out our expectations for crypto firms to comply with the Travel Rule.