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Showing 1 to 10 of 82 search results for Joint Executive Director of Enforcement.
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PwC fined £15 million for failing to alert the FCA to suspected fraudulent activity at London Capital & Finance plc
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. -
FCA censures auditor for failings in client asset reports
The FCA has censured the auditor Macintyre Hudson for failing to prepare client asset reports to the required standard. -
FCA fines FXTB for unfair customer treatment practices
Cypriot contract for differences firm Forex TB Limited has been fined £276,100 for failing to treat its customers fairly. -
FCA fines and bans Martin Sarl for dishonest and reckless conduct
We have banned Martin Sarl from working in the financial services industry and fined him £5,021 for acting without honesty and integrity. -
H2O will pay €250 million to investors following FCA investigation
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. -
FCA takes first enforcement action against firm enabling cryptoasset trading
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. -
Teamwork: A Smart way to tackle financial crime
Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit. -
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back. -
FCA publishes Decision Notices against two individuals for acting without integrity in relation to pensions business
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. -
FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty.