Showing 1 to 10 of 367 search results for director of enforcement and market oversight.

1. 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.

2. 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.

3. Two arrests connected to suspected illegal £1 billion cryptoasset business 

   Press Releases Published: 20/06/2024 Last modified: 20/06/2024
   The FCA, working with the Metropolitan Police Service, has conducted an operation to arrest 2 individuals, aged 38 and 44, suspected of running an illegal cryptoasset exchange.

4. 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.

5. 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. 

6. FCA fines CGML £27,766,200 for failures in its trading systems and controls

   Press Releases Published: 22/05/2024 Last modified: 22/05/2024
   The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

7. Aiming for calm seas in our market reforms

   Speeches Published: 20/05/2024 Last modified: 20/05/2024
   Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK's City Week 2024 conference.

8. Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme

   Press Releases Published: 17/05/2024 Last modified: 17/05/2024
   Following a hearing at Southwark Crown Court, Guy Flintham, 46, was today sentenced to 6 years for fraud.

9. Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation 

   Press Releases Published: 10/05/2024 Last modified: 10/05/2024
   Taheer Sardar has been sentenced at Southwark Crown Court for perverting the course of justice.

10. FCA bans and fines James Lewis £120,300 for putting investors at risk

    Press Releases Published: 07/05/2024 Last modified: 07/05/2024
    James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.