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Showing 661 to 670 of 681 search results for implement the new Consumer Duty.

  1. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  2. FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress

    Press Releases Published: 04/07/2023 Last modified: 04/07/2023
    The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. 

  3. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

    Press Releases Published: 01/09/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

  4. FCA decides to cancel payday lender’s interim permission and ban its sole director

    Press Releases Published: 14/07/2016 Last modified: 14/07/2016
    FCA, there was no requirement for senior managers of consumer credit firms to be approved. ... On 1 April 2014, the FCA took over responsibility for consumer credit regulation.

  5. FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls

    Press Releases Published: 08/01/2009 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with

  6. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

    Press Releases Published: 05/10/2016 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

  7. Credit cards (including retail revolving credit) and coronavirus: temporary guidance for firms

    Finalised guidance Published: 09/04/2020 Last modified: 13/01/2022
    FCA publishes temporary guidance on credit cards during the coronavirus situation

  8. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

    Press Releases Published: 23/05/2014 Last modified: 24/03/2015
    systems. In particular, Barclays failed to:. create or implement adequate policies or procedures to properly manage the way in which Barclays’ traders participated in the Gold Fixing;. ... To support this it has three operational objectives: to secure

  9. How innovation and regulation in financial services can drive the UK's economic growth

    Speeches Published: 29/06/2023 Last modified: 29/06/2023
    Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023.

  10. PS19/27: Changes to mortgage responsible lending rules and guidance – feedback on CP19/14 and final rules

    Policy statements Published: 26/03/2019 Last modified: 13/08/2021
    CP19/14: Mortgage customers: proposed changes to responsible lending rules and guidance