Showing 121 to 130 of 263 search results for enforcement action against firms.

121. Convicted illegal money lender sentenced to three and a half years imprisonment

     Press Releases Published: 09/02/2018 Last modified: 12/01/2023
     Dharam Prakash Gopee (64), was today sentenced to three and a half years imprisonment by a Judge in Southwark Crown Court after guilty verdicts.

122. Dharam Prakash Gopee guilty of acting as an illegal money lender

     Press Releases Published: 08/02/2018 Last modified: 12/01/2023
     The trial of Dharam Prakash Gopee concluded today at Southwark Crown Court with the jury returning a guilty verdict to the charges brought by the FCA.

123. FCA publishes update on high-cost credit work

     Press Releases Published: 31/01/2018 Last modified: 11/04/2024
     The FCA has published an update on its work in the high-cost credit sector.

124. 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

125. 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

126. 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

127. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches Published: 14/11/2017 Last modified: 15/11/2017
     Whilst one of the most visible indicators of that focus is our enforcement action, the simple reality is that it is reflected across the supervisory, monitoring, investigation and enforcement activities – much ... is fit for purpose and gives us the

128. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

129. FCA urges public to report and speak out against fraudulent investment schemes

     Press Releases Published: 25/10/2017 Last modified: 25/10/2017
     More than a fifth (22%) of those contacted by a suspected fraudulent investment firm stay silent   Brits are more likely to report fly-tipping (81%) than investment scams (63%) Londoners report the most investment scams to the FCA followed by

130. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.