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Showing 2451 to 2460 of 2511 search results for pensions advice.

  1. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    The Certification Regimeapplies to other staff who could pose a risk of significant harm to the firm or any of its customers (for example, staff who give investment advice or submit

  2. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

  3. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

    Press Releases Published: 23/01/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

  4. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    firms providing services in relation to insurance-based investments and pensions, and.

  5. FCA begins criminal proceedings against five individuals involved with Worthington Group plc

    Press Releases Published: 20/10/2022 Last modified: 20/10/2022
    The FCA has begun criminal proceedings against five individuals involved with Worthington Group plc, a company listed on the London Stock Exchange.

  6. FCA announces competition review into credit cards - particular focus on how industry works with those in difficult financial situations

    Press Releases Published: 03/04/2014 Last modified: 03/04/2014
    Credit card market facts. The Charity StepChange say around 10pc of the people who visit for advice, with an average £27,000 of total debt, arrive with five or more credit

  7. Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps

    Multi-firm reviews Published: 24/09/2019 Last modified: 16/08/2023
    We reviewed firms’ governance practices covering the value provided by unit-linked funds.

  8. CP13/13: The FCA’s regulatory approach to crowdfunding (and similar activities)

    Consultation papers Published: 24/10/2013 Last modified: 30/08/2015
    any firm that communicates direct offer financial promotions for unlisted equity or debt securities to retail clients, who do not receive regulated advice or investment management services in relation to those

  9. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

    Press Releases Published: 05/03/2015 Last modified: 30/08/2015
    In July 2014, Financial Ltd, a financial advice network, was restricted during a 126 day period from appointing any Appointed Representative or Registered Individuals.

  10. FCA confirms support for customers who are struggling to pay their mortgage due to coronavirus

    Press Releases Published: 02/06/2020 Last modified: 02/06/2020
    The FCA has today confirmed the support firms should give to mortgage customers who are either coming to the end of a payment holiday or who are yet to request one.