Showing 351 to 360 of 776 search results for enforcement.

351. Brexit – what we expect firms and other regulated persons to do now

     Statements Published: 01/02/2019 Last modified: 31/01/2020
     The Treasury has published draft legislation that would temporarily empower the FCA and the Bank of England/Prudential Regulation Authority (PRA) to make transitional provisions if the UK leaves the EU without an agreement in place. We intend to use

352. FCA agrees MoUs with ESMA and EU regulators to allow cooperation and exchange of information

     Press Releases Published: 01/02/2019 Last modified: 06/08/2020
     The Financial Conduct Authority (FCA) has agreed Memoranda of Understanding (MoUs) with ESMA and EU regulators.

353. 2019 fines

     News stories Published: 16/01/2019 Last modified: 20/01/2020
     This page contains information about enforcement fines published during the calendar year ending 2019.

354. Darren Newton banned from working in the financial services sector

     Press Releases Published: 20/12/2018 Last modified: 20/12/2018
     The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited.

355. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

     Press Releases Published: 19/12/2018 Last modified: 19/12/2018
     The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

356. FCA and PSR Boards appoint new members to decision-making committees

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     Competition Decisions Committee and Enforcement Decisions Committee (EDC).

357. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

358. ScamSmart prompts tens of thousands of pension holders to seek information

     Press Releases Published: 04/12/2018 Last modified: 04/12/2018
     The number of people seeking information about pension scams has soared since the launch of the first joint campaign by the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) this summer.

359. Mark Starling sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud

     Press Releases Published: 29/11/2018 Last modified: 30/11/2018
     Mark Barry Starling, aged 57 of Farnham, Surrey, was today sentenced at Southwark Crown Court to 5 years’ imprisonment for defrauding investors of just under £3 million in relation to unauthorised investment schemes he operated between 2008 and

360. Consumer warning – Larksway Investments Limited (in Liquidation)

     News stories Published: 27/11/2018 Last modified: 18/05/2021
     Larksway Investments Limited (Larksway) was referred to the FCA's Enforcement and Market Oversight Division on 5 April 2016.