Showing 151 to 160 of 452 search results for our enforcement.

151. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

     Press Releases Published: 21/12/2020 Last modified: 21/12/2020
     The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

152. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

     Press Releases Published: 18/12/2020 Last modified: 18/12/2020
     The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

153. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

154. Insider dealing convictions upheld by the Court of Appeal

     Press Releases Published: 16/12/2020 Last modified: 16/12/2020
     The Court of Appeal (Criminal Division) upheld the convictions of Fabiana Abdel-Malek and Walid Choucair for insider dealing. 

155. Litigation & Enforcement (Clone of FCA authorised firm)

     Warnings Published: 03/12/2020 Last modified: 03/12/2020
     Litigation & Enforcement (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and

156. FCA regulation of consumer credit – during the pandemic and beyond

     Speeches Published: 13/10/2020 Last modified: 14/10/2020
     Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference

157. Market abuse in a time of coronavirus

     Speeches Published: 12/10/2020 Last modified: 12/10/2020
     Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

158. FCA urges unauthorised land banking scheme victims to get in touch to return funds

     Press Releases Published: 09/10/2020 Last modified: 09/10/2020
     The Financial Conduct Authority (FCA) is urging members of the public who invested in an unauthorised land banking scheme, and who may be eligible to receive some of their money back, to get in contact with the FCA.

159. FCA publishes Annual Report and Accounts 2019/20

     Press Releases Published: 10/09/2020 Last modified: 10/09/2020
     The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.

160. Pension savers claim over £30 million lost to scams as regulators urge footie fans to show scammers the red card

     Press Releases Published: 25/08/2020 Last modified: 25/08/2020
     A total of £30,857,329 has been reportedly lost to pension scammers since 2017 according to complaints filed with Action Fraud, says the Financial Conduct Authority and The Pensions Regulator.