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Showing 201 to 210 of 299 search results for enforcement action against.
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FCA bans Phillip Harold Boakes and sentence of 10 years upheld
In addition to his convictions, the FCA has also taken confiscation proceedings against Mr Boakes and a Confiscation Order for the sum of £165,731 has been made. ... The Final Notice for Phillip Boakes. The FCA’s Press Release in relation to the -
Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities. ... To guard against the risk of consumer detriment and risks to market integrity, -
Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins
Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins. ... The FCA has declared Catalyst to be in default. This means that the FCA takes the view that Catalyst is likely to be unable to satisfy claims made -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
Fair and effective markets review
Although far from representative of the behaviour of most market participants, these are the actions that stick in the mind of the public and which have contributed to the significant failures ... New regulators like the FCA, setting clear expectations -
Individual sentenced for role in operating unauthorised collective investment scheme
This sentence follows sentences of up to 8 years imprisonment handed down in earlier hearings against seven other defendants: Scott Crawley, Dale Walker, Daniel Forsyth, Brendan Daley, Aaron Petrou, Ross Peters, ... Commenting on the case, Georgina -
New priorities for banking reform
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
Eight convicted for role in unauthorised collective investment scheme
Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and