Showing 301 to 310 of 452 search results for our enforcement.

301. 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.

302. FCA Statement on fair treatment of long-standing customers in the life insurance sector

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     The FCA will work with the eleven firms to address the specific findings identified through our ongoing supervisory work. ... The FCA has concluded that the best way to explore these issues further is for that work to be undertaken by our enforcement

303. Katherine of Alexandria Ltd – options for investors

     News stories Published: 25/02/2016 Last modified: 26/02/2016
     We looked into Katherine of Alexandria Ltd to see if it was breaching our rules. ... pursue legal or enforcement action at the current time to close down either the company or the film investment scheme.

304. 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

305. 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.

306. 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. ... As such, and pending the outcome of our investigation, we encourage investors to consider what they can do to protect their position.

307. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     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, the group’s former Compliance Director. ... The principal takes full responsibility for ensuring

308. 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

309. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

310. Money returned to investors with Anderson, Peacock and Pruthi

     News stories Published: 27/11/2015 Last modified: 12/04/2024
     The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi.