Showing 1 to 10 of 262 search results for enforcement approach.

1. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

   Speeches Published: 14/03/2024 Last modified: 14/03/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

2. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

   Press Releases Published: 11/03/2024 Last modified: 11/03/2024
   The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

3. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

4. FCA to improve pace and transparency around enforcement cases

   Press Releases Published: 27/02/2024 Last modified: 27/02/2024
   The Financial Conduct Authority (FCA) has today committed to carrying out enforcement cases more quickly as the organisation seeks to increase the deterrent impact of its enforcement actions.

5. Duty calls: Future-proofing finance for everyone

   Press Releases Published: 28/12/2023 Last modified: 03/01/2024
   Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months.

6. FCA responds to the Complaints Commissioner’s Final Report into Premier FX Limited

   Statements Published: 18/12/2023 Last modified: 18/12/2023
   We have responded to the Financial Regulators Complaints Commissioner's Final Report into complaints from those affected by the collapse of Premier FX Limited in 2018.

7. Scammers looking to exploit financial stress at Christmas, FCA warns

   Scams Press Releases Published: 06/12/2023 Last modified: 06/12/2023
   The FCA warns of the risk of loan fee fraud as almost two-thirds of parents feel pressured to spend above their means at Christmas.

8. Statement on communications in relation to PRIIPs and UCITS

   Statements Published: 30/11/2023 Last modified: 30/11/2023
   Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

9. FCA bans Nigel Lewis and Susan Jones for incompetent British Steel Pension Scheme advice

   Press Releases Published: 27/11/2023 Last modified: 27/11/2023
   The Financial Conduct Authority (FCA) has banned Nigel Lewis and Susan Jones of West Wales Financial Services Limited (in liquidation) (WWFS) from advising customers on pension transfers and pension opt outs. Mr Lewis has also been banned from

10. Firms should strengthen anti-fraud systems and must treat victims of fraud better, review finds

    News stories Published: 07/11/2023 Last modified: 07/11/2023
    We are working with payment service providers to do more to protect consumers from fraud, including authorised push payment (APP) fraud