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Showing 171 to 180 of 267 search results for enforcement case against.

  1. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Capital Alternatives: information for investors

    News stories Published: 18/03/2016 Last modified: 13/07/2021
    We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

  3. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 15/03/2016 Last modified: 15/03/2016
    Today, Phillip Boakes was sentenced to 730 days’ imprisonment for failing to satisfy the full value of a confiscation order made against him. ... Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:.

  4. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    WHI also had 87 corporate broking clients. Due to the lack of proper systems and controls in place, the firm could not protect against the risk of market abuse in respect ... In this case, WHI’s failings were aggravated by the failure to implement

  5. UK FinTech: Regulating for innovation

    Speeches Published: 23/02/2016 Last modified: 23/02/2016
    Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

  6. £2.9 million to be returned to investors following FCA prosecution

    Press Releases Published: 12/02/2016 Last modified: 30/09/2016
    Confiscation orders made against James and Miranda Sanders in 2014 following their conviction for insider dealing being satisfied in full. ... The £2,170,191.40 confiscation order made against Mr Joseph, a former futures trader, remains the largest ever

  7. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  8. Connaught Income Series 1 Fund — update to investors

    News stories Published: 29/01/2016 Last modified: 05/12/2016
    As with other enforcement investigations, we will not comment on it as it progresses. ... We are actively working on this case and are committed to undertaking the investigation as quickly as possible.

  9. Case concerning CEO referred to the Upper Tribunal

    Press Releases Published: 11/12/2015 Last modified: 11/12/2015
    The action taken against Ms Grigg is final as she has not referred her case to the tribunal. ... The FCA has taken enforcement action in respect of related failings at the group, including against Financial Ltd and Investments Ltd and Mr Stephen Bell,

  10. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015