Showing 1 to 10 of 82 search results for Joint Executive Director of Enforcement.

1. PwC fined £15 million for failing to alert the FCA to suspected fraudulent activity at London Capital & Finance plc

   Press Releases Published: 16/08/2024 Last modified: 16/08/2024
   The FCA has fined PricewaterhouseCoopers LLP (PwC) for failing to report to the regulator their belief that London Capital & Finance plc (LCF) might be involved in fraudulent activity. This is the first time the FCA has fined an audit firm.

2. FCA censures auditor for failings in client asset reports

   Press Releases Published: 15/08/2024 Last modified: 15/08/2024
   The FCA has censured the auditor Macintyre Hudson for failing to prepare client asset reports to the required standard.

3. FCA fines FXTB for unfair customer treatment practices 

   Investments Press Releases Published: 14/08/2024 Last modified: 14/08/2024
   Cypriot contract for differences firm Forex TB Limited has been fined £276,100 for failing to treat its customers fairly.

4. FCA fines and bans Martin Sarl for dishonest and reckless conduct 

   Consumers Press Releases Published: 14/08/2024 Last modified: 14/08/2024
   We have banned Martin Sarl from working in the financial services industry and fined him £5,021 for acting without honesty and integrity.

5. H2O will pay €250 million to investors following FCA investigation

   Press Releases Published: 07/08/2024 Last modified: 07/08/2024
   Asset manager H2O AM LLP (H2O) will pay €250 million to investors unable to access their funds since 2020, following an investigation by the FCA.

6. FCA takes first enforcement action against firm enabling cryptoasset trading

   Press Releases Published: 25/07/2024 Last modified: 25/07/2024
   CB Payments Limited (CBPL) has been fined £3,503,546 by the FCA for repeatedly breaching a requirement that prevented the firm from offering services to high-risk customers.

7. Teamwork: A Smart way to tackle financial crime

   Speeches Published: 26/06/2024 Last modified: 26/06/2024
   Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit.

8. FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

   Press Releases Published: 24/06/2024 Last modified: 24/06/2024
   Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back.

9. FCA publishes Decision Notices against two individuals for acting without integrity in relation to pensions business

   Press Releases Published: 24/05/2024 Last modified: 24/05/2024
   The FCA has decided to ban Stephen Joseph Burdett and James Paul Goodchild from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.

10. FCA fines HSBC £6.2 million over treatment of customers in financial difficulty

    Press Releases Published: 23/05/2024 Last modified: 31/05/2024
    We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty.