Showing 41 to 50 of 133 search results for enforcement action against firms and other regulated.

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

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The approach serves as a conduct risk mitigation framework that is increasingly used across FCA Wholesale Supervision and which helps regulated firms enhance the manner in which they conduct business. ... We observe instances where individuals within

42. 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.

43. 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.

44. 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

45. 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

46. 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.

47. Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud

    Press Releases Published: 17/09/2018 Last modified: 17/09/2018
    Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling

48. The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar

    Press Releases Published: 14/09/2018 Last modified: 14/09/2018
    The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.

49. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

50. FCA secures confiscation orders totalling £1.69 million against convicted insider dealers

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    These confiscation orders follow an FCA prosecution in which Messrs Dodgson and Hind were convicted of conspiring to insider deal.