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FCA fines, bans director over unauthorized compliance duties

FCA fines, bans director over unauthorized compliance duties
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Thomas wardHaiden hendersonRobert wardAndrew pageHenderson carter associatesBank house investment managementFinancial conduct authorityFutures authorityFinancial pageTristan freer

FCA fines and bans five advisers for causing losses to 2,000 clients

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.

Hennessy jonesRobert wardThomas wardHaiden hendersonAndrew pageHenderson carter associatesBank house investment managementFinancial services compensation schemeFinancial page ltdUpper tribunalTristan freerHenderson carter associates limitedBank house investment management limitedAndrew pageThomas wardHaiden henderson

UK Financial Conduct Authority: Five Individuals Banned And Fined For Causing Losses To Pension Customers

<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>

Hennessy jonesRobert wardThomas wardHaiden hendersonAndrew pageHenderson carter associatesBank house investment managementFinancial services compensation schemeFinancial page ltdUpper tribunalTristan freerHenderson carter associates limitedBank house investment management limitedFinancial services compensationExecutive directorMarket oversight

FCA bans five directors over £76 5m pension scandal

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.

Hennessy jonesRobert wardThomas wardHaiden hendersonAndrew pageHenderson carter associatesBank house investment managementFinancial services compensation schemeFinancial conduct authorityFinancial page ltdUpper tribunalTristan freerHenderson carter associates limitedMark steward

FCA Fines 5 Pensions Advisers Over £1M For £50M Losses

The finance watchdog fined five directors of financial advice firms over £1 million ($1.2 million) on Monday and banned them from the sector after providing poor advice that caused over £50 million in losses to more than 2,000 pension savers.

Hennessy jonesHaiden hendersonThomas wardRobert wardAndrew pageFinancial conduct authorityNajiyya budalyUpper tribunalTristan freer