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Compliance Monitor

: IFA fined on pension transfers after it ignores compliance advice; Online Published Date : 05 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; By NeasaMacErlean

: FCA calls on Google to tackle minibond ads as it introduces permanent retail ban; Online Published Date : 05 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; By NeasaMacErlean

: Charles Schwab receives fifth-largest fine of 2020; Online Published Date : 07 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; By Neasa MacErlean

: Fund operator avoids £10m fine — but ordered to pay restitution to investors; Online Published Date : 07 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; By Neasa MacErlean

: Trader accepts ban after being caught through FCA surveillance algorithm; Online Published Date : 08 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; By Neasa MacErlean

: Barclays fined £26m for its treatment of struggling consumer credit customers; Online Published Date : 18 January 2021 | Appeared in issue: Vol 33 No 5 - 05 January 2021; Barclayshas been penalised £26,056,400 for the way it handled consumer credit customers who fell into arrears betweenApril 2014 and December 2018 – moreover, the group has paid in excess of £273 millionin redress to at least 1,530,000 customer..