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Showing 401 to 410 of 443 search results for FCA's enforcement case.
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FCA Board appoints new members to the Regulatory Decisions Committee
cases on behalf of the FCA. ... In August 2013, the FCA Board appointed three new members to the RDC:. -
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
Other enforcement proceedings connected to these matters are on-going. Bill Sillett, head of FCA retail enforcement, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
Four arrested in FCA insider dealing investigation
The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London. -
FCA v former iSOFT directors
The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not -
FCA fines US based oil trader US $903K for market manipulation
The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets. -
100 days of the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd
The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put -
The FCA holds key conference on financial crime
Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance. -
Keynote address: Financial crime in the FCA world
Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.