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Showing 11 to 20 of 133 search results for enforcement action against firms and other regulated.
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Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London. -
Five individuals banned and fined for causing losses to pension customers
The FCA has prohibited five directors of financial advice firms from working in financial services and fined them over £1 million, after they caused significant losses to pension customers. -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
FCA secures £2,000,000 account forfeiture order
QPay Europe Limited, which claims to be a fintech start up offering due diligence and underwriting services, has consented to court orders to give up £2,000,000 held in its name following proceedings brought by the Financial Conduct Authority (FCA) -
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 -
The risks of token regulation
Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
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. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.