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Ex-director banned and must pay £882k over ‘misconduct’

The Financial Reporting Council has fined and banned a former finance director of RSM Tenon Group for five years after he admitted multiple counts of misconduct.


FCA may ban contingent charging on DB transfers

The Financial Conduct Authority has today proposed a ban on contingent charging on pension transfers and reaffirmed its view that DB transfers should be considered unsuitable unless there is a good reason to transfer.


FCA fines and bans ‘reckless’ former RBS trader

The Financial Conduct Authority has imposed a fine of £250,000 on former Royal Bank of Scotland interest rate derivatives trader Neil Danziger and banned him from performing any regulated financial activity.


Adviser banned and fined £109k for fabricating two SPSs

A financial adviser has been banned and fined £109,400 for “lying repeatedly to the regulator”.

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