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Showing 631 to 640 of 747 search results for reasons set out in this Final Notice.

  1. 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.

  2. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

  3. Capital market regulation and coronavirus

    Speeches Published: 07/08/2020 Last modified: 07/08/2020
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence.

  4. What does the future of insurance broking look like?

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Simon Green, Head of General Insurance and Protection, the FCA, at the Incisive Media Insurance Age Regulation event, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

    Press Releases Published: 05/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

  6. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    And this is one of the reasons why, for a long time actually, there has been considerable discussion over where responsibility for its regulation should lie. ... This, in turn of course, allowed us to narrow down the solution architecture more

  7. Call of Duty: How putting customers front and centre will help industry innovate

    Speeches Published: 22/02/2023 Last modified: 17/11/2023
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the 'Countdown to Implementation of the Consumer Duty' event.

  8. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

  9. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

  10. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

    Press Releases Published: 17/10/2017 Last modified: 17/10/2017
    The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules).