Showing 121 to 130 of 360 search results for FCA Director of Enforcement and Market Oversight.

121. 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.

122. Levelling the playing field – innovation in the service of consumers and the market

     Speeches Published: 20/04/2021 Last modified: 20/04/2021
     Speech by our CEO, Nikhil Rathi, to FinTech Week.

123. 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.

124. 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.

125. 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.

126. 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.

127. 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.

128. 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.

129. 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.

130. Google UK & Ireland’s letter to the FCA - 26 February 2021

     Statements Published: 01/03/2021 Last modified: 01/03/2021
     Google UK & Ireland’s Managing Director, Ronan Harris, wrote a letter on 26 February 2021 to the FCA Chairman and CEO about the work Google have been doing to tackle scam advertisements on their platform.