Showing 181 to 190 of 357 search results for Director of Enforcement and Market Oversight.

181. Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth

     Press Releases Published: 16/08/2019 Last modified: 07/08/2020
     The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity.

182. 5 million pension savers could put their retirement savings at risk to scammers

     Press Releases Published: 07/08/2019 Last modified: 07/08/2019
     The FCA and The Pensions Regulator are warning the public about fraudsters targeting people’s retirement savings. This warning comes as new research suggests that 42% of pension savers, which would equate over 5 million people across the UK, could

183. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

     Press Releases Published: 23/07/2019 Last modified: 23/07/2019
     The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

184. Richard Baldwin conviction for money laundering revealed after reporting restrictions lifted

     Press Releases Published: 11/07/2019 Last modified: 02/08/2019
     On 13 July 2017, Richard Baldwin was convicted of dealing in criminal property between October 2007 and November 2008. The criminal property laundered was £1.5 million representing the proceeds of a conspiracy to insider deal by Martyn Dodgson and

185. Unauthorised firm and directors to pay restitution to consumers

     Press Releases Published: 10/07/2019 Last modified: 10/07/2019
     The High Court has consented to an order by which Samuel Golding, Shantelle Golding, Digital Wealth Limited and Outsourcing Express Limited will pay funds held by them to the Financial Conduct Authority (FCA) for distribution to investors. The funds

186. Two found guilty of insider dealing

     Press Releases Published: 27/06/2019 Last modified: 27/06/2019
     Today Fabiana Abdel-Malek was sentenced to 3 years’ imprisonment and Walid Choucair sentenced to 3 years’ imprisonment in respect of five offences of insider dealing. Fabiana Abdel-Malek and Walid Anis Choucair were each convicted over the

187. 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

188. 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

189. 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. 

190. 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