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FCA fines, bans director over unauthorized compliance duties complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.
The FCA has banned five financial advice firm directors from working in financial services and fined them more than £1m, after they caused significant losses to pension customers in a serious case of advisory misconduct. ....
<p><span>The FCA has prohibited five directors of financial advice firms from working in financial services and fined them over £1 million, after they caused significant losses to pension customers.</span></p> ....
The Financial Conduct Authority has banned five directors of advice firms and fined them over £1m. This is after they caused significant losses to over 2,000 pension customers amounting to over £50m. ....