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Showing 121 to 130 of 352 search results for Enforcement and Market Oversight said.
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Outcomes-focussed regulation: a measure of success?
Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association -
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. -
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. -
FCA launches campaign to encourage individuals to report wrongdoing
The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation
Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team.