Showing 161 to 170 of 443 search results for FCA's enforcement case.

161. Connaught Independent Review call for information closes but investigation remains open to affected individuals

     Press Releases Published: 20/11/2019 Last modified: 20/11/2019
     Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.

162. FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability

     Press Releases Published: 18/11/2019 Last modified: 06/05/2022
     The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’

163. Andrew Bailey speech at Lord Mayor’s City Banquet

     Speeches Published: 24/10/2019 Last modified: 24/10/2019
     Andrew Bailey speech at the Lord Mayor's City Banquet at Mansion House.

164. Turning technology against financial crime

     Speeches Published: 23/10/2019 Last modified: 23/10/2019
     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Royal United Services Institute, London.

165. Regulation in a changing world

     Speeches Published: 21/10/2019 Last modified: 21/10/2019
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.

166. The FCA fines Tullett Prebon £15.4 million

     Press Releases Published: 11/10/2019 Last modified: 11/10/2019
     The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

167. Stress testing for human beings

     Speeches Published: 27/09/2019 Last modified: 27/09/2019
     Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium.

168. Further details of Independent Investigation of Interest Rate Hedging Products announced

     Press Releases Published: 16/09/2019 Last modified: 16/09/2019
     John Swift QC has announced his full independent support team is now in place to conduct the investigation into the FSA’s (and subsequently the FCA’s) implementation and oversight of the Interest Rate Hedging Products (IRHP) Redress Scheme.

169. The fight against skimmers and scammers

     Speeches Published: 05/09/2019 Last modified: 05/09/2019
     Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

170. Richard Baldwin, sentencing 3 September 2019

     Press Releases Published: 03/09/2019 Last modified: 03/09/2019
     On 3 September 2019, at Southwark Crown Court, His Honour Judge Hehir sentenced Mr Richard Baldwin to a total of 5 years and 8 months’ imprisonment.