Fine
Aussie investment firm fined A$20m for misleading trust members
After it took ‘advantage’ of investors ‘whose interests it was duty-bound to protect’
Alternatives | 18 Oct 21
£116,000 fine and ban for ‘reckless’ pension switching advice
Nearly 50% of client’s retirement pots invested in a high-risk strategy
Fee disclosure failures see NAB hit with A$18.5m fine
Misleading statements ’caused harm to customers’ says regulator
Introducer firm fined £50,000 for pensions cold-calling
It made nearly 97,000 calls despite the practice being made illegal in 2019
Alternatives | 9 Aug 21
British Steel adviser appeals proposed FCA £1.3m fine and ban
The decision notice will only take effect if Upper Tribunal supports the watchdog’s findings