Showing 141 to 150 of 357 search results for Director of Enforcement and Market Oversight.

141. FCA issues warning over festive season loan fee fraud

     Press Releases Published: 11/12/2020 Last modified: 11/12/2020
     ‘Three Wise Warnings’ for consumers to look out for this Christmas as fraudsters attempt to steal two-thirds of average gift spend.

142. FCA fines LJ Financial Planning Ltd £107,200

     Press Releases Published: 10/12/2020 Last modified: 10/12/2020
     Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

143. FCA fines TFS-ICAP £3.44 million for market misconduct

     Press Releases Published: 23/11/2020 Last modified: 23/11/2020
     The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

144. FCA bans three individuals from working in the financial services industry for non-financial misconduct

     Press Releases Published: 05/11/2020 Last modified: 05/11/2020
     The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of

145. FCA censures Aviva plc for listing and transparency rules breach

     Press Releases Published: 26/10/2020 Last modified: 26/10/2020
     The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.

146. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

     Press Releases Published: 22/10/2020 Last modified: 23/10/2020
     FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

147. FCA fines ARCM £873,118 for breaches of short selling disclosure rules

     Press Releases Published: 14/10/2020 Last modified: 14/10/2020
     The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built

148. FCA bans IFA directors who provided false and misleading SIPP declarations

     Press Releases Published: 12/10/2020 Last modified: 12/10/2020
     The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. 

149. Market abuse in a time of coronavirus

     Speeches Published: 12/10/2020 Last modified: 12/10/2020
     Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

150. FCA urges unauthorised land banking scheme victims to get in touch to return funds

     Press Releases Published: 09/10/2020 Last modified: 09/10/2020
     The Financial Conduct Authority (FCA) is urging members of the public who invested in an unauthorised land banking scheme, and who may be eligible to receive some of their money back, to get in contact with the FCA.