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Market integrity and strategic approach
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets. -
FCA succeeds in application to Upper Tribunal to strike out P.F. International’s challenge to regulatory decision
The Financial Conduct Authority (‘FCA’) has successfully applied to the Upper Tribunal to strike out an appeal made by P.F International Limited, a franchise of the Kirby Vacuum Company. P.F. International has now exhausted its avenues of appeal. -
FCA returns funds to land banking victims
FCA returns funds to land banking victims -
FCA fines former managing director £45,000 for failure to notify personal trades
The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades. -
FCA secures confiscation order totalling over £170,000 against convicted fraudster
A confiscation order of £171,913.60 was made against Manraj Singh Virdee in Southwark Crown Court. -
First-tier Tribunal upholds decision to fine Hall and Hanley Limited for data breaches and unauthorised copying of client signatures
The First-tier Tribunal (the Tribunal) has upheld a fine of £91,000 imposed on Hall and Hanley Limited (H&H) by the Claims Management Regulator (CMR), the former regulator for claims management companies (CMCs). The hearing for the Tribunal was -
FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator
The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials. -
FCA secures confiscation order totalling £5 million against illegal money lender
On 11 December 2019, Southwark Crown Court made a confiscation order against Dharam Prakash Gopee in the sum of £5,118,018.72. The effect of the order is to confiscate all his criminal proceeds as an illegal money lender. Mr Gopee was also ordered -
FCA secures confiscation order totalling £291,070 against convicted fraudster
A confiscation order of £291,070.36 was made against Mark Barry Starling in Southwark Crown Court. -
FCA fines Henderson £1.9m for fund failings
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