Showing 131 to 140 of 508 search results for Enforcement action.

131. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

132. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

133. FCA fines and prohibits trader for market abuse

     Press Releases Published: 04/03/2021 Last modified: 04/03/2021
     The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

134. FCA confirms the increase in thresholds for contactless payments

     Press Releases Published: 03/03/2021 Last modified: 03/03/2021
     The Financial Conduct Authority (FCA) has confirmed changes to its rules to allow for an increase in the single transaction contactless payment threshold from £45 to £100. The contactless threshold for multiple transactions will also increase from

135. FCA censures Premier FX for payment rule breaches

     Press Releases Published: 25/02/2021 Last modified: 26/02/2021
     The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

136. FCA returns funds to victims of unauthorised deposit taking and collective investment schemes

     Press Releases Published: 24/02/2021 Last modified: 26/02/2021
     The FCA has obtained High Court Approval to return £3.42 million to compensate victims of a series of unauthorised deposit taking and collective investment schemes.

137. Why does the FCA care about diversity and inclusion?

     Speeches Published: 28/01/2021 Last modified: 28/01/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, given at the Ethnic Diversity in the City and Corporate UK Summit.

138. FCA issues warning over ‘clone firm’ investment scams

     Press Releases Published: 27/01/2021 Last modified: 27/01/2021
     With over £78 million stolen in clone firm investment scams and the number of reports for this scam type on the rise, we warn the public

139. FCA clamps down on consumer investment harm

     Press Releases Published: 18/01/2021 Last modified: 13/06/2023
     The FCA highlights the many ways in which it works to protect consumers from investment harm by stopping and disrupting potentially harmful firms and activities.

140. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

     Press Releases Published: 21/12/2020 Last modified: 21/12/2020
     The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.