News
Search results
Showing 171 to 180 of 577 search results for Director of Enforcement.
-
FCA fines and prohibits hedge fund Chief Investment Officer for market abuse
The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated -
FCA issues warning over festive season loan fee fraud
‘Three Wise Warnings’ for consumers to look out for this Christmas as fraudsters attempt to steal two-thirds of average gift spend. -
FCA fines LJ Financial Planning Ltd £107,200
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. -
FCA fines TFS-ICAP £3.44 million for market misconduct
The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients. -
FCA bans three individuals from working in the financial services industry for non-financial misconduct
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 -
FCA censures Aviva plc for listing and transparency rules breach
The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market. -
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB) -
FCA fines ARCM £873,118 for breaches of short selling disclosure rules
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 -
FCA regulation of consumer credit – during the pandemic and beyond
Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference -
FCA bans IFA directors who provided false and misleading SIPP declarations
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.