Showing 111 to 120 of 262 search results for Executive Director of Enforcement and Market Oversight.

111. LF Woodford Equity Income Fund investigation

     News stories Published: 28/05/2021 Last modified: 14/10/2022
     We set out our public statements on the investigation into the circumstances relating to the suspension of the LF Woodford Equity Income fund

112. The rise in scams and the threat to a legitimate financial services industry

     Speeches Published: 18/05/2021 Last modified: 18/05/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit.

113. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

     Press Releases Published: 06/05/2021 Last modified: 06/05/2021
     We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

114. Compliance, Culture and Evolving Regulatory Expectations

     Speeches Published: 26/04/2021 Last modified: 26/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

115. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

116. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

     Press Releases Published: 15/04/2021 Last modified: 15/04/2021
     The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

117. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

118. High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading

     Press Releases Published: 25/03/2021 Last modified: 08/04/2024
     The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.

119. FCA launches campaign to encourage individuals to report wrongdoing

     Press Releases Published: 24/03/2021 Last modified: 24/03/2021
     The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

120. 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.