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Showing 2391 to 2400 of 2511 search results for pensions advice.

  1. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    of mis-selling and the provision of unsuitable advice to consumers.

  2. CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)

    Consultation papers Published: 28/05/2015 Last modified: 22/02/2018
    firms that provide financial advice – both PIFs and competing firms subject to other prudential regimes - and potential new market entrants.

  3. FCA proposes the next stage of support for consumer credit and overdraft customers

    Press Releases Published: 16/09/2020 Last modified: 16/09/2020
    The Financial Conduct Authority (FCA) has announced proposals to ensure that firms provide tailored support for users of consumer credit and overdraft products who continue to face payment difficulties due to coronavirus (Covid-19).

  4. FCA publishes its second set of rules following its Asset Management Market Study

    Press Releases Published: 04/02/2019 Last modified: 04/02/2019
    The Financial Conduct Authority (FCA) has published new rules and guidance to improve the quality of the information available to consumers about the funds they invest in.

  5. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.

  6. FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators

    Press Releases Published: 01/03/2016 Last modified: 18/01/2017
    Week 1 - The FCA will run ‘Positive Compliance sessions’ for firms in the investment and home finance sectors and will focus on the advice process.

  7. Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)

    Multi-firm reviews Published: 07/11/2023 Last modified: 23/04/2024
    This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly.

  8. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

    Press Releases Published: 18/09/2015 Last modified: 09/12/2016
    The Tribunal also noted that Mr Wilkins had relied on his compliance function, on legal advice and on Mr Roberts in the relevant period.

  9. FCA reminds asset managers of importance of meeting investors’ expectations

    Press Releases Published: 07/04/2016 Last modified: 07/04/2016
    For example, the FCA found two funds that were available on execution-only platforms when the fund management company had planned for them to be available only with advice.

  10. British and Australian regulators strengthen cooperation on FinTech through Enhanced Cooperation Agreement

    Press Releases Published: 22/03/2018 Last modified: 22/03/2018
    The Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) today signed an Enhanced Cooperation Agreement between their Innovation Hubs to extend their existing agreement of cooperation and coordination on