Showing 1 to 10 of 773 search results for FCA's Enforcement.

1. FCA publishes Decision Notices against two individuals for acting without integrity in relation to pensions business

   Press Releases Published: 24/05/2024 Last modified: 24/05/2024
   The FCA has decided to ban Stephen Joseph Burdett and James Paul Goodchild from working in regulated financial services for recklessly exposing pension holders to unsuitable investments.

2. FCA fines HSBC £6.2 million over treatment of customers in financial difficulty

   Press Releases Published: 23/05/2024 Last modified: 24/05/2024
   We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. 

3. FCA fines CGML £27,766,200 for failures in its trading systems and controls

   Press Releases Published: 22/05/2024 Last modified: 22/05/2024
   The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

4. Aiming for calm seas in our market reforms

   Speeches Published: 20/05/2024 Last modified: 20/05/2024
   Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK's City Week 2024 conference.

5. Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme

   Press Releases Published: 17/05/2024 Last modified: 17/05/2024
   Following a hearing at Southwark Crown Court, Guy Flintham, 46, was today sentenced to 6 years for fraud.

6. Power brokers: how to transform into the lynchpins of the ecosystem

   Speeches Published: 16/05/2024 Last modified: 16/05/2024
   Speech by Emily Shepperd, FCA Chief Operating Officer at the British Insurance Brokers' Association Conference.

7. Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation 

   Press Releases Published: 10/05/2024 Last modified: 10/05/2024
   Taheer Sardar has been sentenced at Southwark Crown Court for perverting the course of justice.

8. FCA bans and fines James Lewis £120,300 for putting investors at risk

   Press Releases Published: 07/05/2024 Last modified: 07/05/2024
   James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.

9. FCA publishes response to British Steel Pension Scheme complaints

   Pensions Complaints News stories Published: 22/04/2024 Last modified: 22/04/2024
   The FCA has been investigating a number of complaints about our actions in relation to the British Steel Pension Scheme (BSPS).

10. Navigating the UK's Digital Regulation Landscape: Where are we headed?

    Speeches Published: 22/04/2024 Last modified: 23/04/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)