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Showing 111 to 120 of 292 search results for Director of Enforcement and Market Oversight.

  1. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of
  2. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

    Press Releases Published: 03/06/2019 Last modified: 03/06/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled
  3. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

    Press Releases Published: 30/05/2019 Last modified: 30/05/2019
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 
  4. FCA bans Terry Farr

    Press Releases Published: 29/05/2019 Last modified: 29/05/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled
  5. FCA wins case against unauthorised forex firm

    Press Releases Published: 22/05/2019 Last modified: 22/05/2019
    Following an application by the FCA, the High Court, on 14 May 2019, declared that Xcore Capital Limited (Xcore) and Jonathan Chitty had carried on an unauthorised investment scheme. The scheme took in at least £1 million from investors but only a
  6. Over £27 million reported lost to crypto and forex investment scams

    Press Releases Published: 21/05/2019 Last modified: 21/05/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled
  7. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).
  8. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML
  9. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.
  10. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.