Showing 141 to 150 of 299 search results for enforcement action against.

141. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

     Press Releases Published: 06/11/2018 Last modified: 06/11/2018
     The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).

142. Rolling the rock: The cycle of deregulation, crisis and regulation

     Speeches Published: 02/10/2018 Last modified: 03/10/2018
     Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Association for Financial Markets in Europe (AFME) Annual Conference on 2 October 2018.

143. FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack

     Press Releases Published: 01/10/2018 Last modified: 01/10/2018
     The Financial Conduct Authority (FCA) has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. The cyber attack

144. Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 17/09/2018 Last modified: 17/09/2018
     Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling

145. The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar

     Press Releases Published: 14/09/2018 Last modified: 14/09/2018
     The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.

146. Andrew Bailey speech at the Annual Public Meeting 2018

     Speeches Published: 11/09/2018 Last modified: 11/09/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

147. Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns

     Press Releases Published: 01/08/2018 Last modified: 01/08/2018
     On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management

148. MiFID II and the fight against financial crime

     Speeches Published: 11/07/2018 Last modified: 20/07/2018
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

149. The FCA’s Business Plan and Priorities

     Speeches Published: 16/05/2018 Last modified: 16/05/2018
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester

150. FCA secures confiscation orders totalling £1.69 million against convicted insider dealers

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     These confiscation orders follow an FCA prosecution in which Messrs Dodgson and Hind were convicted of conspiring to insider deal.