FCA appoints DipPFS holder to enforcement panel
- Tuesday, 25 April 2017
- Articles
A PFS member who holds the Diploma in Financial Planning has joined an FCA enforcement panel.
Read more...Five wealth managers may face FCA probe
- Wednesday, 09 December 2015
- Articles
Five firms could face a probe by FCA enforcement officers after failing to show the suitability of clients’ investment portfolios.
Read more...Adviser firms face FCA action over 'improper' outsourcing
- Monday, 30 November 2015
- Articles
The FCA has revealed this morning that its Enforcement Division is investigating a number of adviser firms over ‘improper delegation’ of authorised activities including providing pension switching advice.
Read more...Aviva Investors escapes £25m FCA fine but gets £17m instead
- Tuesday, 24 February 2015
- Articles
Aviva Investors Global Services will have to cough up nearly £18m after being fined by The Financial Conduct Authority. Read more...