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Showing 11 to 20 of 286 search results for Director of Enforcement and Market Oversight.

  1. Former Redcentric CFO sentenced to five and a half years imprisonment

    Press Releases Published: 03/03/2022 Last modified: 03/03/2022
    Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years.
  2. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.
  3. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

    Press Releases Published: 11/02/2022 Last modified: 11/02/2022
    Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.
  4. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

    Press Releases Published: 17/12/2021 Last modified: 06/05/2022
    We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.
  5. NatWest fined £264.8 million for anti-money laundering failures

    Press Releases Published: 13/12/2021 Last modified: 13/12/2021
    National Westminster Bank Plc fined £264,772,619.95 following convictions for three offences of failing to comply with money laundering regulations.
  6. FCA turns to science and music to protect public from loan fee fraud this Christmas

    Consumers Scams Press Releases Published: 09/12/2021 Last modified: 09/12/2021
    The FCA has launched the UK’s first official anti-fraud jingle in a bid to protect consumers against loan fee fraud over the Christmas period.
  7. FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 12/11/2021 Last modified: 12/11/2021
    Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls
  8. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

    Press Releases Published: 19/10/2021 Last modified: 22/10/2021
    The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond
  9. FCA prohibits and fines Omar Hussein for pension switching advice failings

    Press Releases Published: 15/10/2021 Last modified: 15/10/2021
    The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.
  10. Partnerships, priorities and predictions for the future in the pensions market

    Speeches Published: 14/10/2021 Last modified: 14/10/2021
    Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association