Showing 221 to 230 of 370 search results for executive director of enforcement.

221. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

     Press Releases Published: 03/06/2019 Last modified: 03/06/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

222. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

     Press Releases Published: 30/05/2019 Last modified: 30/05/2019
     The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

223. FCA bans Terry Farr

     Press Releases Published: 29/05/2019 Last modified: 29/05/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

224. FCA confirms extension of the Temporary Permission Regime deadline

     Press Releases Published: 24/05/2019 Last modified: 24/05/2019
     The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

225. FCA wins case against unauthorised forex firm

     Press Releases Published: 22/05/2019 Last modified: 22/05/2019
     Following an application by the FCA, the High Court, on 14 May 2019, declared that Xcore Capital Limited (Xcore) and Jonathan Chitty had carried on an unauthorised investment scheme. The scheme took in at least £1 million from investors but only a

226. Over £27 million reported lost to crypto and forex investment scams

     Press Releases Published: 21/05/2019 Last modified: 21/05/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

227. Financial conduct regulation in a restless world

     Speeches Published: 08/05/2019 Last modified: 08/05/2019
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

228. FCA launch the Financial Services Regulatory Partners Phoenixing Group

     Statements Published: 03/05/2019 Last modified: 03/05/2019
     The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services.

229. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

230. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

     Press Releases Published: 28/03/2019 Last modified: 28/03/2019
     Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.