Showing 131 to 140 of 443 search results for enforcement case.

131. Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation

     Press Releases Published: 22/01/2021 Last modified: 22/01/2021
     Walid Choucair ordered to pay £4m in confiscation costs in respect of being convicted of five offences of insider dealing.

132. FCA clamps down on consumer investment harm

     Press Releases Published: 18/01/2021 Last modified: 13/06/2023
     The FCA highlights the many ways in which it works to protect consumers from investment harm by stopping and disrupting potentially harmful firms and activities.

133. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

     Press Releases Published: 21/12/2020 Last modified: 21/12/2020
     The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

134. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

     Press Releases Published: 18/12/2020 Last modified: 18/12/2020
     The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

135. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

136. Insider dealing convictions upheld by the Court of Appeal

     Press Releases Published: 16/12/2020 Last modified: 16/12/2020
     The Court of Appeal (Criminal Division) upheld the convictions of Fabiana Abdel-Malek and Walid Choucair for insider dealing. 

137. FCA fines Barclays £26 million over treatment of customers in financial difficulty

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

138. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

139. FCA fines TFS-ICAP £3.44 million for market misconduct

     Press Releases Published: 23/11/2020 Last modified: 23/11/2020
     The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

140. FCA censures Aviva plc for listing and transparency rules breach

     Press Releases Published: 26/10/2020 Last modified: 26/10/2020
     The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.