Showing 211 to 220 of 443 search results for enforcement case.

211. Five sentenced in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 04/09/2018 Last modified: 04/09/2018
     Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018.

212. Four former directors of online consumer credit broker banned for misleading customers

     Press Releases Published: 25/07/2018 Last modified: 25/07/2018
     The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My Money Limited (now dissolved).

213. MiFID II and the fight against financial crime

     Speeches Published: 11/07/2018 Last modified: 20/07/2018
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

214. Has the industry improved ten years on?

     Speeches Published: 14/06/2018 Last modified: 15/06/2018
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018.

215. FCA statement on thematic review into fair treatment of longstanding customers in the life insurance sector

     Statements Published: 12/06/2018 Last modified: 15/06/2018
     On 3 March 2016 the Financial Conduct Authority (FCA) announced investigations into six firms as a result of its thematic review into the fair treatment of longstanding customers.

216. A helping hand for the invisible hand: the FCA’s approach to competition and innovation

     Speeches Published: 11/06/2018 Last modified: 11/06/2018
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.

217. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

     Press Releases Published: 06/06/2018 Last modified: 06/06/2018
     The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

218. Turning technology against criminals

     Speeches Published: 22/05/2018 Last modified: 24/05/2018
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the Anti-Money Laundering TechSprint, London

219. The FCA’s Business Plan and Priorities

     Speeches Published: 16/05/2018 Last modified: 16/05/2018
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester

220. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence