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Showing 51 to 60 of 263 search results for enforcement action against firms.
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FCA publishes warning notice statements for GAM International Management and Timothy Haywood
The Financial Conduct Authority (FCA) has fined GAM international Management Limited £9.1m and Timothy Hayward £230,037 for conflicts of interest and gifts & entertainment matters. -
Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt
The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond -
Partnerships, priorities and predictions for the future in the pensions market
Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
The risks of token regulation
Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime -
Information for firms who use certain exemptions to the Financial Promotions Order
A statement to outline how we intend to proceed given the accidental error in the onshoring of the FPO. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Scammers target over £2 million in pension pots in the last five months
The FCA are urging anyone saving for their retirement to protect their savings. -
The rise in scams and the threat to a legitimate financial services industry
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit. -
Outcomes-focussed regulation: a measure of success?
Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association