Showing 151 to 160 of 348 search results for Enforcement Decisions.

151. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

152. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

     Press Releases Published: 09/04/2019 Last modified: 09/04/2019
     The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

153. UK Financial Conduct Authority and Australian Securities and Investments Commission agree to strengthen cooperation post-Brexit

     Press Releases Published: 08/04/2019 Last modified: 08/04/2019
     The UK Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) today announced they have agreed two Memoranda of Understanding to ensure there is continuity once the UK leaves the European Union. The MoUs

154. Partly contested cases, the pipeline and AML investigations

     Speeches Published: 04/04/2019 Last modified: 04/04/2019
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

155. Brexit and beyond

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

156. What can the consumer credit sector expect from the FCA?

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

157. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

     Press Releases Published: 13/03/2019 Last modified: 20/12/2019
     The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

158. Money laundering and supervising trusted professionals

     Speeches Published: 12/03/2019 Last modified: 30/08/2019
     OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards.

159. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

     Press Releases Published: 25/02/2019 Last modified: 25/02/2019
     Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

160. FCA issues its first decision under competition law

     Press Releases Published: 21/02/2019 Last modified: 21/02/2019
     The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.