Showing 31 to 40 of 267 search results for enforcement case against.

31. Michael Nascimento sentenced for failing to pay confiscation order

    Press Releases Published: 17/01/2023 Last modified: 17/01/2023
    Mr Nascimento has been sentenced to an additional almost four years in prison for failing to pay a confiscation order made against him.

32. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

33. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

34. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

35. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

    Speeches Published: 29/11/2022 Last modified: 08/01/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

36. FCA issues Final Notice to former CEO for anti-money laundering failings

    Press Releases Published: 18/11/2022 Last modified: 18/11/2022
    We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

37. FCA obtains High Court judgment against unauthorised mortgage brokers

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    The FCA has obtained a judgment against London Property Investments (U.K) Limited (LPI), NPI Holdings Limited, their director Daniel Stevens and his father, Tony Stevens, for arranging mortgages without FCA authorisation and exploiting vulnerable

38. FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares

    Press Releases Published: 28/10/2022 Last modified: 28/10/2022
    On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect.

39. FCA publishes Decision Notices for Barclays plc and Barclays Bank plc (together “Barclays”)

    Press Releases Published: 21/10/2022 Last modified: 21/10/2022
    Barclays have referred their Decision Notices to the Upper Tribunal. Any findings in the Notices are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers the firms’ behaviour should be characterised.

40. Mark Steward to step down from the FCA

    Press Releases Published: 18/10/2022 Last modified: 18/10/2022
    Mark Steward has announced he will be stepping down as the FCA’s executive director of Enforcement and Market Oversight after seven years with the regulator.