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Showing 271 to 280 of 443 search results for enforcement case.
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Over 55s at heightened risk of fraud, says FCA
Mark Steward, Director of Enforcement at the FCA commented: 'You don’t need to be gullible to lose money to a scam or fraud. ... We have published warnings about 147 unauthorised firms targeting UK consumers and appointed investigators in 23 cases. -
FCA Research into the issue of de-risking
Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by regulators and prosecutors. ... In doing this we will continue to work with the Government, law -
FCA fines and bans financial adviser for insider dealing
Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... There can be no let-up in tackling insider dealing and this case shows the consequences will be grave and serious ones for perpetrators, even in small cases like this one.'. -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
Financial Conduct Authority’s regulatory sandbox opens to applications
do not easily fit into the existing regulatory framework and in some cases waivers or no enforcement action letters. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
15 month suspended sentence for director of debt management firm
The case was brought by South Wales Police following its own investigation, and with the cooperation and assistance of the FCA. ... Where we become aware of potential criminal activity in markets that we regulate, including debt management, we will work -
FCA wins case in the Supreme Court
In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at -
FCA and PRA jointly publish proposals to enhance enforcement decision-making processes
The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.