Showing 111 to 120 of 241 search results for Executive Director of Enforcement and Market Oversight said.

111. 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.

112. 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.

113. The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation

     Press Releases Published: 25/02/2021 Last modified: 26/02/2021
     Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team.

114. 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.

115. FCA secures interim restitution order against illegal deposit takers

     Press Releases Published: 03/02/2021 Last modified: 20/05/2022
     The Financial Conduct Authority (FCA) has secured an interim restitution order of just over £676,000 against 5 of the 7 defendants accused of carrying on unauthorised deposit taking by accepting money for projects including forex-trading and

116. 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

117. Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation

     Press Releases Published: 22/01/2021 Last modified: 22/01/2021
     Walid Choucair ordered to pay £4m in confiscation costs in respect of being convicted of five offences of insider dealing.

118. 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.

119. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

     Press Releases Published: 18/12/2020 Last modified: 18/12/2020
     The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

120. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)