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Showing 131 to 140 of 373 search results for Director of Enforcement and Market Oversight.
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FCA fines Crosfill & Archer Claims Limited £110,000
The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000. -
LF Woodford Equity Income Fund investigation
We set out our public statements on the investigation into the circumstances relating to the suspension of the LF Woodford Equity Income fund -
The rise in scams and the threat to a legitimate financial services industry
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit. -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902
We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902. -
Levelling the playing field – innovation in the service of consumers and the market
Speech by our CEO, Nikhil Rathi, to FinTech Week. -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading
The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.