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Showing 41 to 50 of 280 search results for Executive Director of Enforcement.

  1. LF Woodford Equity Income Fund investigation

    News stories Published: 28/05/2021 Last modified: 10/01/2022
    We set out our public statements on the investigation into the circumstances relating to the suspension of the LF Woodford Equity Income fund
  2. 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.
  3. FCA proposes stronger protection for consumers in financial markets

    Press Releases Published: 14/05/2021 Last modified: 14/05/2021
    Plans for a new Consumer Duty which will set a higher level of consumer protection in retail financial markets
  4. 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.
  5. FCA sets out proposals to strengthen its financial promotion rules for high-risk investments

    Press Releases Published: 29/04/2021 Last modified: 29/04/2021
    Read our proposals to help retail investors make more effective decisions on high-risk investments
  6. 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.
  7. Cautious optimism for the post-pandemic world

    Speeches Published: 23/04/2021 Last modified: 23/04/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.
  8. 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.
  9. 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.
  10. 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.