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Showing 801 to 810 of 939 search results for enforcement.
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FCA bans partners of firm that failed to consider customer SIPP suitability
Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. -
Land bank firm shut down by the FCA has appeal rejected by Court
The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I. -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further regulatory action, including referrals to enforcement. ... However, it is likely two firms with egregious failings uncovered in the second -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
continuing the FCA’s credible deterrence agenda and continue to cooperate with other regulators to pursue cross-border enforcement. -
Santander UK fined £12.4m for widespread investment advice failings
Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank. -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
Guide to the regulation of workplace defined contribution pensions
We have jointly developed this guide with The Pensions Regulator to provide an overview of how workplace defined contribution (DC) pensions are regulated to protect the interests of consumers. -
FCA winds up a boiler room
Tracey McDermott, director of enforcement and financial crime at the FCA, said:. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.