Showing 341 to 350 of 776 search results for enforcement.

341. FCA introduces final rules on the Directory of financial services workers

     Press Releases Published: 08/03/2019 Last modified: 08/03/2019
     The Financial Conduct Authority (FCA) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services.

342. Bank of England and Financial Conduct Authority agree Memoranda of Understanding (MoUs) with EIOPA and EU insurance supervisors

     Press Releases Published: 05/03/2019 Last modified: 05/03/2019
     The Prudential Regulation Authority (PRA), Financial Conduct Authority (FCA) and European Insurance and Occupational Pensions Authority (EIOPA) are announcing today that they have agreed Memoranda of Understanding (MoUs) regarding supervisory

343. FCA takes action for contempt of court

     Press Releases Published: 04/03/2019 Last modified: 04/03/2019
     On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions

344. FCA urges unauthorised land banking scheme victims to get in touch to return funds

     Press Releases Published: 25/02/2019 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) is urging members of the public who invested in unauthorised collective investment schemes, and who may be eligible to receive some of their money back, to get in contact with the FCA.

345. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

     Press Releases Published: 25/02/2019 Last modified: 25/02/2019
     Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

346. FCA issues its first decision under competition law

     Press Releases Published: 21/02/2019 Last modified: 21/02/2019
     The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

347. Market abuse requires a dynamic response to a changing risk profile

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     These are nuanced issues but they reflect that the cleanliness of our markets is not just founded in the avoidance of clear acts of criminal or regulatory breaches which produce enforcement

348. FCA warns public of investment scams as over £197 million reported losses in 2018

     Press Releases Published: 06/02/2019 Last modified: 11/04/2024
     The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018.

349. FCA fines former fund manager Paul Stephany

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

350. Manraj Virdee sentenced to 2 years for illegally operating an investment scheme and fraud

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     In a case brought by the Financial Conduct Authority (FCA), Manraj Virdee was yesterday sentenced at Southwark Crown Court to a 2 year prison sentence suspended for 2 years and he was further ordered to carry out 300 hours of unpaid work in the