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Showing 211 to 220 of 373 search results for Director of Enforcement and Market Oversight.
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FCA fines Standard Chartered Bank £102.2 million for poor AML controls
The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
FCA fines The Carphone Warehouse over £29m for insurance mis-selling
The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed -
Money laundering and supervising trusted professionals
OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards. -
FCA takes action for contempt of court
On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions -
FCA urges unauthorised land banking scheme victims to get in touch to return funds
The Financial Conduct Authority (FCA) is urging members of the public who invested in unauthorised collective investment schemes, and who may be eligible to receive some of their money back, to get in contact with the FCA. -
Market abuse requires a dynamic response to a changing risk profile
Speech delivered by Julia Hoggett, Director of Market Oversightat the FCA, at theAFME Implementation of the Market Abuse Regulation in the UK event, London. ... Speaker: Julia Hoggett, Director, Market Oversight. Event: Implementation of the Market Abuse