News
Search results
Showing 41 to 50 of 512 search results for enforcement action.
-
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
Woodford Equity Income Fund investors to have their say
. -
Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
FCA secures £130,000 to return to investors
The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice. -
Countdown to the Consumer Duty
Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar -
FCA warns of impending Consumer Duty deadline
With fewer than 90 days to go until the start of the Consumer Duty the Financial Conduct Authority (FCA) has urged firms to ensure they are ready for the 31 July deadline. -
FCA continues action against unregistered crypto ATMs across the UK
The FCA has inspected sites in Exeter, Nottingham and Sheffield as part of a continued crackdown on this sector. -
FCA publishes Decision Notices for Banque Havilland SA and three of its former employees
The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200. -
FCA sets out steps to improve whistleblower confidence
The FCA sets out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on how it’s acted on their information; improving the use of information provided by whistleblowers; and improving