Showing 1 to 10 of 158 search results for law enforcement.

1. Teamwork: A Smart way to tackle financial crime

   Speeches Published: 26/06/2024 Last modified: 26/06/2024
   Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit.

2. Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation 

   Press Releases Published: 10/05/2024 Last modified: 10/05/2024
   Taheer Sardar has been sentenced at Southwark Crown Court for perverting the course of justice.

3. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

   Press Releases Published: 18/03/2024 Last modified: 18/03/2024
   Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

4. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

   Speeches Published: 14/03/2024 Last modified: 14/03/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

5. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

6. Statement on communications in relation to PRIIPs and UCITS

   Statements Published: 30/11/2023 Last modified: 30/11/2023
   Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

7. FCA censures NMC Health Plc (in Administration) for market abuse

   Press Releases Published: 17/11/2023 Last modified: 17/11/2023
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8. FCA and PSR Boards appoint new members to decision-making committees

   Press Releases Published: 16/11/2023 Last modified: 16/11/2023
   Ulrike Hotopp and Claire Whyley have been appointed to the FCA’s and PSR’s Competition Decisions Committees (CDCs)

9. Two individuals guilty of making £3m worth of fraudulent mortgage applications

   Press Releases Published: 15/11/2023 Last modified: 15/11/2023
   Larry Barreto, based in the East Midlands, has been found guilty today of 11 charges of fraud by false representation following a prosecution brought by the FCA.

10. Collaborate to compete: why we must all embrace a growth mindset

    Speeches Published: 16/10/2023 Last modified: 18/10/2023
    Speech by Nikhil Rathi, Chief Executive, FCA, delivered at the City Dinner, Mansion House.