Showing 121 to 130 of 577 search results for Director of Enforcement.

121. FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading

     Press Releases Published: 12/11/2021 Last modified: 12/11/2021
     Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls

122. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

     Press Releases Published: 19/10/2021 Last modified: 22/10/2021
     The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond

123. FCA prohibits and fines Omar Hussein for pension switching advice failings

     Press Releases Published: 15/10/2021 Last modified: 15/10/2021
     The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

124. Partnerships, priorities and predictions for the future in the pensions market

     Speeches Published: 14/10/2021 Last modified: 25/08/2022
     Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association 

125. Regulating for better outcomes - next steps in consumer credit

     Speeches Published: 08/10/2021 Last modified: 08/10/2021
     Speech by Nisha Arora, Director of Consumer and Retail Policy, given at Westminster Business Forum

126. Stephen Allen sentenced to 28 months imprisonment for forging a trust deed

     Press Releases Published: 24/09/2021 Last modified: 24/09/2021
     Stephen Allen has today been sentenced to 28 months imprisonment for forging a trust deed in an attempt to help his client minimise restitution payments owed to victims.

127. A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I

     Speeches Published: 24/09/2021 Last modified: 24/09/2021
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum

128. OPBAS publishes report on progress and themes from 2020/21

     Press Releases Published: 20/09/2021 Last modified: 20/09/2021
     The Office for Professional Body Anti-Money Laundering Supervision (OPBAS) releases its 2020/21 report on progress made in tackling money laundering by professional body supervisors.

129. FCA to move faster to remove unused firm permissions

     Press Releases Published: 09/09/2021 Last modified: 09/09/2021
     The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms.

130. Richard Faithfull sentenced to over 5 years imprisonment for money laundering

     Press Releases Published: 09/09/2021 Last modified: 09/09/2021
     On Thursday 9 September 2021 Richard Faithfull was sentenced to 5 years and 10 months imprisonment for laundering money, contrary to s.327 Proceeds of Crime Act 2002