Showing 121 to 130 of 401 search results for enforcement and market oversight.

121. FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading

     Press Releases Published: 12/11/2021 Last modified: 12/11/2021
     Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls

122. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

     Press Releases Published: 19/10/2021 Last modified: 22/10/2021
     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

123. FCA prohibits and fines Omar Hussein for pension switching advice failings

     Press Releases Published: 15/10/2021 Last modified: 15/10/2021
     The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

124. Partnerships, priorities and predictions for the future in the pensions market

     Speeches Published: 14/10/2021 Last modified: 25/08/2022
     Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association 

125. Stephen Allen sentenced to 28 months imprisonment for forging a trust deed

     Press Releases Published: 24/09/2021 Last modified: 24/09/2021
     Stephen Allen has today been sentenced to 28 months imprisonment for forging a trust deed in an attempt to help his client minimise restitution payments owed to victims.

126. A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I

     Speeches Published: 24/09/2021 Last modified: 24/09/2021
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum

127. FCA to move faster to remove unused firm permissions

     Press Releases Published: 09/09/2021 Last modified: 09/09/2021
     The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms.

128. Richard Faithfull sentenced to over 5 years imprisonment for money laundering

     Press Releases Published: 09/09/2021 Last modified: 09/09/2021
     On Thursday 9 September 2021 Richard Faithfull was sentenced to 5 years and 10 months imprisonment for laundering money, contrary to s.327 Proceeds of Crime Act 2002

129. FCA wins case against Avacade in the Court of Appeal

     Press Releases Published: 04/08/2021 Last modified: 21/10/2021
     The Court of Appeal has upheld findings of breaches against Alexandra Associates (UK) Limited trading as Avacade Future Solutions (AA), and Craig and Lee Lummis in a case brought by the Financial Conduct Authority (FCA).

130. FCA obtains High Court Order to remove hundreds of HM Land Registry charges, notices and restrictions registered against consumers’ properties by illegal money lender

     Press Releases Published: 29/07/2021 Last modified: 29/07/2021
     This application is the latest in several legal proceedings commenced by the FCA against Dharam Prakash Gopee arising out of his illegal money lending activities