Showing 31 to 40 of 100 search results for take enforcement action against firms and other regulated.

31. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The approach serves as a conduct risk mitigation framework that is increasingly used across FCA Wholesale Supervision and which helps regulated firms enhance the manner in which they conduct business. ... We observe instances where individuals within

32. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

33. Brexit – what we expect firms and other regulated persons to do now

    Statements Published: 01/02/2019 Last modified: 31/01/2020
    The Treasury has published draft legislation that would temporarily empower the FCA and the Bank of England/Prudential Regulation Authority (PRA) to make transitional provisions if the UK leaves the EU without an agreement in place. We intend to use

34. Rolling the rock: The cycle of deregulation, crisis and regulation

    Speeches Published: 02/10/2018 Last modified: 03/10/2018
    Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Association for Financial Markets in Europe (AFME) Annual Conference on 2 October 2018.

35. Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud

    Press Releases Published: 17/09/2018 Last modified: 17/09/2018
    Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling

36. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

37. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

38. FCA wins case against Capital Alternatives Limited and others

    Press Releases Published: 26/03/2018 Last modified: 24/11/2021
    The High Court found that Capital Alternatives Limited, Renwick Haddow, Marcia Hargous, Robert McKendrick and others should pay a total of £16.9m in restitution for their roles in four unauthorised collective investment schemes which were

39. Convicted illegal money lender sentenced to three and a half years imprisonment

    Press Releases Published: 09/02/2018 Last modified: 12/01/2023
    Dharam Prakash Gopee (64), was today sentenced to three and a half years imprisonment by a Judge in Southwark Crown Court after guilty verdicts.

40. Dharam Prakash Gopee guilty of acting as an illegal money lender

    Press Releases Published: 08/02/2018 Last modified: 12/01/2023
    The trial of Dharam Prakash Gopee concluded today at Southwark Crown Court with the jury returning a guilty verdict to the charges brought by the FCA.