Showing 61 to 70 of 133 search results for enforcement action against firms and other regulated.

61. 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

62. 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.

63. FCA fines and bans wife and bans husband financial advisor for lack of integrity

    Press Releases Published: 12/10/2017 Last modified: 12/10/2017
    The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

64. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

65. Andrew Bailey speech on Free Trade in Financial Services matters

    Speeches Published: 29/09/2017 Last modified: 29/09/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

66. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

67. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

68. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

69. FCA secures eight confiscation orders totalling almost £2.2 million

    Press Releases Published: 24/05/2017 Last modified: 24/05/2017
    The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 

70. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.