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IFA fined on pension transfers after it ignores compliance advice
By Neasa MacErlean
Online Published Date:
05 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
FCA calls on Google to tackle minibond ads as it imposes permanent retail ban
By Neasa MacErlean
Online Published Date:
05 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Charles Schwab receives fifth-largest fine of 2020
By Neasa MacErlean
Online Published Date:
07 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Fund operator avoids £10m fine — but ordered to pay restitution to investors
By Neasa MacErlean
Online Published Date:
07 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Trader accepts ban after being caught through FCA surveillance algorithm
By Neasa MacErlean
Online Published Date:
08 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Barclays fined £26m for its treatment of struggling consumer credit customers
Barclays has been penalised £26,056,400 for the way it handled consumer credit customers who fell into arrears between April 2014 and December 2018 – moreover, the group has paid in excess of £273 million in redress to at least 1,530,000 customer..
Online Published Date:
18 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
CMCs face up to 30 per cent cap on redress cut
By Neasa MacErlean
Online Published Date:
21 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Repo ban to remain on home loans — but is lifted on consumer credit
By Neasa MacErlean
Online Published Date:
22 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Covid has hit small retail lenders hard, finds FCA research
By Neasa MacErlean
Online Published Date:
22 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Insider trading conviction upheld of UBS compliance officer
ByNeasaMacErlean
Online Published Date:
27 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
Consultation kicks off on year-long preparation of Investment Firm Prudential Regime
By Neasa MacErlean
Online Published Date:
28 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021
FCA announces further reform of retail advice market
By Neasa MacErlean
Online Published Date:
29 January 2021
Appeared in issue:
Vol 33 No 5 - 05 January 2021