fines

Advisers express concern over client fines for negligent trust registration

Adviser / Broking

Advisers express concern over client fines for negligent trust registration

Must be registered with Trust Registration Service by 1 September

clock 10 August 2022 • 1 min read

Regulation

FCA: Senior managers' regime no end to action against firms

Will continue to fine firms

clock 04 April 2017 • 2 min read

Adviser / Broking

FCA bans adviser for misappropriation of premiums

The Financial Conduct Authority (FCA) has fined and banned Ralph Whittington, of Savesure Limited, from any function related to regulated activity, after premiums paid by clients were misappropriated.

clock 10 September 2015 •

PMI

AXA PPP welcomes CMA fine for Consultant Eye Surgeons Partnership

AXA PPP healthcare has welcomed the Competition and Markets Authority (CMA)'s fine of £500,000 for the Consultant Eye Surgeons Partnership (CESP) Limited.

clock 16 July 2015 •

Regulation

FSA bans adviser for £2,669 of unpaid fees

The Financial Services Authority has banned an independent financial adviser from carrying out regulated services because he failed to pay his regulation fees.

clock 11 March 2013 •

Service

Insurer fined £2.8m over 'high risk' commission driven staff

The Financial Services Authority (FSA) has fined Combined Insurance Company of America (CICA) £2.8m because its poor management of staff put customers at risk of being treated unfairly.

clock 19 December 2011 • 1 min read

Income Protection

Instant fines for incorrect benefit claims

Benefit claimants will be fined instantly if they negligently give wrong information on their claim.

clock 20 June 2011 • 1 min read