Showing 221 to 230 of 401 search results for enforcement and market oversight.

221. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

     Press Releases Published: 28/03/2019 Last modified: 28/03/2019
     Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

222. Brexit and beyond

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

223. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases Published: 19/03/2019 Last modified: 19/03/2019
     UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

224. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

     Press Releases Published: 13/03/2019 Last modified: 20/12/2019
     The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

225. Money laundering and supervising trusted professionals

     Speeches Published: 12/03/2019 Last modified: 30/08/2019
     OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards.

226. FCA takes action for contempt of court

     Press Releases Published: 04/03/2019 Last modified: 04/03/2019
     On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions

227. FCA urges unauthorised land banking scheme victims to get in touch to return funds

     Press Releases Published: 25/02/2019 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) is urging members of the public who invested in unauthorised collective investment schemes, and who may be eligible to receive some of their money back, to get in contact with the FCA.

228. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

     Press Releases Published: 25/02/2019 Last modified: 25/02/2019
     Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

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

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     Speaker: Julia Hoggett, Director, Market Oversight. Event: Implementation of the Market Abuse Regulation in the UK, London(organised by AFME and hosted by Linklaters LLP). ... to the question: What steps are firms taking to ensure that those operating in

230. 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.