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Showing 111 to 120 of 495 search results for Director of Enforcement.

  1. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North
  2. 22 years of pension savings gone in 24 hours

    Press Releases Published: 08/11/2019 Last modified: 06/08/2020
    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
  3. FCA urges victims of illegal loan scheme to come forward

    Press Releases Published: 31/10/2019 Last modified: 08/11/2019
    The Financial Conduct Authority has urged customers who took out a loan with Mr Dharam Prakash Gopee to contact them as they may be eligible for compensation.
  4. Turning technology against financial crime

    Speeches Published: 23/10/2019 Last modified: 23/10/2019
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Royal United Services Institute, London.
  5. Regulation in a changing world

    Speeches Published: 21/10/2019 Last modified: 21/10/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.
  6. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing
  7. FCA urges remaining victims of Churchgate Trading Syndicate to get in touch

    Press Releases Published: 08/10/2019 Last modified: 08/10/2019
    The Financial Conduct Authority (FCA) urges members of the public who lost money in an unauthorised scheme called the Churchgate Trading Syndicate and who may be eligible to receive some of their money back, to get in contact with the FCA.
  8. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 
  9. Richard Baldwin, sentencing 3 September 2019

    Press Releases Published: 03/09/2019 Last modified: 03/09/2019
    On 3 September 2019, at Southwark Crown Court, His Honour Judge Hehir sentenced Mr Richard Baldwin to a total of 5 years and 8 months’ imprisonment. 
  10. 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.