Showing 411 to 420 of 776 search results for enforcement.

411. Defendants sentenced in FCA prosecution of £1.4 million investment scheme

     Press Releases Published: 20/12/2017 Last modified: 21/12/2017
     Samrat Bhandari, Dr Muhammad Aleem Mirza, Michael Moore and Paul Moore, each of whom played a role in the operation of an investment scheme which led to investors losing just over £1.4 million, today appeared at Southwark Crown Court to be sentenced

412. FCA stops unlawful foreign exchange investment scheme

     Press Releases Published: 19/12/2017 Last modified: 21/12/2017
     Following an application by the FCA, the High Court yesterday made orders against a number of persons involved in carrying on an unauthorised foreign exchange investment scheme.  The scheme took in at least £1.2 million from 65 investors but none

413. AIM Investment Company fined for failing to disclose inside information as soon as possible

     Press Releases Published: 14/12/2017 Last modified: 14/12/2017
     The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

414. Ross Peters Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 12/12/2017 Last modified: 08/05/2024
     Ross Peters was sentenced to 400 days’ imprisonment for failing to pay the full value of a confiscation order made against him.

415. FCA fines Bluefin £4m for misleading customers

     Press Releases Published: 06/12/2017 Last modified: 06/12/2017
     The Financial Conduct Authority (FCA) has today fined Bluefin Insurance Services Limited (Bluefin) £4,023,800 for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way

416. Using artificial intelligence to keep criminal funds out of the financial system

     Speeches Published: 06/12/2017 Last modified: 06/12/2017
     Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered to the FinTech Innovation in AML and Digital ID regional event, London.

417. Effective global regulation in capital markets

     Speeches Published: 05/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

418. Four guilty in relation to £1.4 million investment scheme

     Press Releases Published: 01/12/2017 Last modified: 01/12/2017
     In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment scheme which led to more than 300 investors losing a total of

419. FCA issues first statement of objections to four asset management firms

     Press Releases Published: 29/11/2017 Last modified: 29/11/2017
     The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

420. FCA fines bond trader £60,000 for market abuse

     Press Releases Published: 22/11/2017 Last modified: 22/11/2017
     The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.