FCA rejects appointed rep ‘hosting’ plan from firm
- Friday, 13 May 2022
- Articles
The FCA has refused authorisation to regulatory consultancy firm Alexander Jon Compliance Consulting Limited (AJCC) which planned to provide regulatory 'hosting' services.
Read more...FCA takes action on 105 financial ads in Q1
- Wednesday, 07 April 2021
- Articles
The Financial Conduct Authority has published its first quarterly data for non-compliant financial promotions, as part of a drive for greater transparency on financial promotions.
Read more...FCA fines Charles Schwab UK £8.96m
- Monday, 21 December 2020
- Articles
The Financial Conduct Authority has fined investment platform Charles Schwab UK Ltd (CSUK) £8.96m for a series of safeguarding and compliance failures.
Read more...TPR issues more than 115,000 auto-enrolment penalties
- Monday, 15 June 2020
- Articles
The Pensions Regulator has so far issued 115,459 auto-enrolment fixed penalty notices since the start of the workplace pension scheme in 2012.
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