Showing 101 to 110 of 393 search results for Enforcement and Market Oversight.

101. Critical issues in financial regulation: The FCA's perspective

     Speeches Published: 26/04/2022 Last modified: 28/04/2022
     Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

102. FCA secures £2,000,000 account forfeiture order

     Press Releases Published: 21/04/2022 Last modified: 21/04/2022
     QPay Europe Limited, which claims to be a fintech start up offering due diligence and underwriting services, has consented to court orders to give up £2,000,000 held in its name following proceedings brought by the Financial Conduct Authority (FCA)

103. FCA makes three senior hires

     Press Releases Published: 05/04/2022 Last modified: 05/04/2022
     The FCA has appointed two new Directors of Authorisations as it successfully fills 95 new authorisation roles. A new Finance Director will also join the regulator this spring. 

104. FCA fines GAM International Management and former Investment Director Timothy Haywood

     Press Releases Published: 30/03/2022 Last modified: 30/03/2022
     The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

105. Former Redcentric CFO sentenced to five and a half years imprisonment

     Press Releases Published: 03/03/2022 Last modified: 03/03/2022
     Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years.

106. 2022 fines

     News stories Published: 28/02/2022 Last modified: 04/01/2023
     Enforcement fines published in 2022.

107. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

     Press Releases Published: 28/02/2022 Last modified: 28/02/2022
     Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.

108. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

     Press Releases Published: 11/02/2022 Last modified: 11/02/2022
     Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

109. Highlights of the FCA’s new approach in 2021

     Press Releases Published: 31/12/2021 Last modified: 12/01/2022
     Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator

110. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

     Press Releases Published: 17/12/2021 Last modified: 06/05/2022
     We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.