Showing 71 to 80 of 443 search results for enforcement case.

71. Richard Lloyd – APM opening remarks 2022

    Speeches Published: 12/10/2022 Last modified: 12/10/2022
    Opening remarks by Richard Lloyd, interim Chair of the FCA, delivered at the FCA's 2022 Annual Public Meeting.

72. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

73. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

74. FCA decides to impose conditions on takeover of Link Group

    Press Releases Published: 12/09/2022 Last modified: 12/09/2022
    Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link

75. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

76. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

77. FCA fines Sir Christopher Gent for disclosing inside information

    Press Releases Published: 05/08/2022 Last modified: 05/08/2022
    The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information.

78. FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors

    Press Releases Published: 28/07/2022 Last modified: 28/07/2022
    The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation

79. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 15/07/2022 Last modified: 15/07/2022
    The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

80. How the UK will regulate for the future

    Speeches Published: 14/07/2022 Last modified: 14/07/2022
    Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.