Showing 231 to 240 of 360 search results for Director of Enforcement and Market Oversight.

231. 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

232. Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice

     Press Releases Published: 23/03/2018 Last modified: 23/03/2018
     Today at Southwark Crown Court Alex Hope was sentenced to 16 months’ imprisonment for perverting the course of justice. The charge related to his conduct following the imposition of a restraint order in 2012 and a confiscation order in 2016

233. FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry

     Press Releases Published: 06/03/2018 Last modified: 06/03/2018
     The Financial Conduct Authority (FCA) has banned the former Chair of Co-operative Bank PLC (Co-op Bank), Paul Flowers, from the financial services industry.

234. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

     Press Releases Published: 05/03/2018 Last modified: 05/03/2018
     The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

235. The FCA fines Vanquis £1,976,000 and orders Vanquis to pay compensation to customers

     Press Releases Published: 27/02/2018 Last modified: 27/02/2018
     The Financial Conduct Authority (FCA) has today imposed a fine of £1,976,000 on credit card lender, Vanquis, for failing to disclose the full price of an add-on product, called Repayment Option Plan (ROP). The firm will also repay an estimated £168

236. 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.

237. 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.

238. Samrat Bhandari sentenced in FCA prosecution of £1.4 million investment scheme

     Press Releases Published: 31/01/2018 Last modified: 31/01/2018
     Samrat Bhandari, who played a prime role in the operation of an investment scheme which led to investors losing just over £1.4 million, was today sentenced at Southwark Crown Court to a total of 3½ years’ imprisonment. He was also disqualified

239. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

     Press Releases Published: 25/01/2018 Last modified: 25/01/2018
     The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

240. FCA fines and bans former RBS trader, Neil Danziger

     Press Releases Published: 08/01/2018 Last modified: 08/01/2018
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated