Showing 1 to 10 of 100 search results for take enforcement action against firms and other regulated.

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. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

   Press Releases Published: 28/06/2023 Last modified: 28/06/2023
   The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. 

4. Do the right thing

   Speeches Published: 01/06/2023 Last modified: 30/10/2023
   Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

5. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

   Press Releases Published: 12/12/2022 Last modified: 12/12/2022
   Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

6. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

   Speeches Published: 29/11/2022 Last modified: 08/01/2024
   Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

7. Fighting financial crime – the force multiplier effect

   Speeches Published: 07/09/2022 Last modified: 07/09/2022
   Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.

8. How the UK will regulate for the future

   Speeches Published: 14/07/2022 Last modified: 14/07/2022
   Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.

9. Finding opportunity in a world of uncertainty

   Speeches Published: 30/06/2022 Last modified: 30/06/2022
   Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference.

10. Listening up to level up – regulating finance for the whole of the UK

    Speeches Published: 20/05/2022 Last modified: 20/05/2022
    Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London.