Showing 191 to 200 of 272 search results for FCA Executive Director of Enforcement and Market Oversight.

191. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

     Press Releases Published: 03/06/2019 Last modified: 03/06/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

192. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

     Press Releases Published: 30/05/2019 Last modified: 30/05/2019
     The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

193. FCA bans Terry Farr

     Press Releases Published: 29/05/2019 Last modified: 29/05/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

194. FCA wins case against unauthorised forex firm

     Press Releases Published: 22/05/2019 Last modified: 22/05/2019
     Following an application by the FCA, the High Court, on 14 May 2019, declared that Xcore Capital Limited (Xcore) and Jonathan Chitty had carried on an unauthorised investment scheme. The scheme took in at least £1 million from investors but only a

195. Over £27 million reported lost to crypto and forex investment scams

     Press Releases Published: 21/05/2019 Last modified: 21/05/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

196. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

197. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

     Press Releases Published: 28/03/2019 Last modified: 28/03/2019
     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.

198. Brexit and beyond

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

199. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases Published: 19/03/2019 Last modified: 19/03/2019
     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.

200. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

     Press Releases Published: 13/03/2019 Last modified: 20/12/2019
     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