Showing 1 to 10 of 370 search results for take enforcement action.

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. FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

   Press Releases Published: 24/06/2024 Last modified: 24/06/2024
   Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back.

3. 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.

4. FCA publishes response to British Steel Pension Scheme complaints

   Pensions Complaints News stories Published: 22/04/2024 Last modified: 22/04/2024
   The FCA has been investigating a number of complaints about our actions in relation to the British Steel Pension Scheme (BSPS).

5. Navigating the UK's Digital Regulation Landscape: Where are we headed?

   Speeches Published: 22/04/2024 Last modified: 23/04/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)

6. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

7. Stuart Bayes found guilty of insider dealing 

   Press Releases Published: 28/03/2024 Last modified: 28/03/2024
   Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought by the Financial Conduct Authority (FCA).

8. 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.

9. 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.

10. FCA warns firms over anti-money laundering failings

    News stories Published: 05/03/2024 Last modified: 05/03/2024
    We have warned firms about common failings we have found in financial crime controls.