Showing 121 to 130 of 443 search results for enforcement case.

121. High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading

     Press Releases Published: 25/03/2021 Last modified: 08/04/2024
     The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.

122. FCA launches campaign to encourage individuals to report wrongdoing

     Press Releases Published: 24/03/2021 Last modified: 24/03/2021
     The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

123. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

124. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

125. FCA fines and prohibits trader for market abuse

     Press Releases Published: 04/03/2021 Last modified: 04/03/2021
     The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

126. FCA censures Premier FX for payment rule breaches

     Press Releases Published: 25/02/2021 Last modified: 26/02/2021
     The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

127. FCA responds to High Court decision to stay proceedings in enforcement case

     Press Releases Published: 24/02/2021 Last modified: 26/02/2021
     The Claimants issued a judicial review to challenge a decision by the FCA’s Regulatory Decisions Committee not to stay the regulatory proceedings against the first Claimant.

128. FCA returns funds to victims of unauthorised deposit taking and collective investment schemes

     Press Releases Published: 24/02/2021 Last modified: 26/02/2021
     The FCA has obtained High Court Approval to return £3.42 million to compensate victims of a series of unauthorised deposit taking and collective investment schemes.

129. FCA secures interim restitution order against illegal deposit takers

     Press Releases Published: 03/02/2021 Last modified: 20/05/2022
     The Financial Conduct Authority (FCA) has secured an interim restitution order of just over £676,000 against 5 of the 7 defendants accused of carrying on unauthorised deposit taking by accepting money for projects including forex-trading and

130. Why does the FCA care about diversity and inclusion?

     Speeches Published: 28/01/2021 Last modified: 28/01/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, given at the Ethnic Diversity in the City and Corporate UK Summit.