Showing 101 to 110 of 263 search results for enforcement action against firms.

101. FCA issues its first decision under competition law

     Press Releases Published: 21/02/2019 Last modified: 21/02/2019
     The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

102. Market abuse requires a dynamic response to a changing risk profile

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     While firms and individuals being aware of this risk is one component of mitigating it, a firm’s own systems and controls are also a critical element – this goes to Question ... If your firm considers it necessary to file a STOR about an employee, it

103. FCA warns public of investment scams as over £197 million reported losses in 2018

     Press Releases Published: 06/02/2019 Last modified: 11/04/2024
     The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018.

104. FCA fines former fund manager Paul Stephany

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

105. 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

106. 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

107. 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.

108. 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).

109. 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.

110. 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