Showing 121 to 130 of 299 search results for Following enforcement.

121. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

     Press Releases Published: 17/12/2019 Last modified: 17/12/2019
     The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

122. Connaught Independent Review call for information closes but investigation remains open to affected individuals

     Press Releases Published: 20/11/2019 Last modified: 20/11/2019
     Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.

123. FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability

     Press Releases Published: 18/11/2019 Last modified: 06/05/2022
     The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’

124. Regulation in a changing world

     Speeches Published: 21/10/2019 Last modified: 21/10/2019
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.

125. The FCA fines Tullett Prebon £15.4 million

     Press Releases Published: 11/10/2019 Last modified: 11/10/2019
     The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

126. Richard Baldwin, sentencing 3 September 2019

     Press Releases Published: 03/09/2019 Last modified: 03/09/2019
     On 3 September 2019, at Southwark Crown Court, His Honour Judge Hehir sentenced Mr Richard Baldwin to a total of 5 years and 8 months’ imprisonment. 

127. Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth

     Press Releases Published: 16/08/2019 Last modified: 07/08/2020
     The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity.

128. Andrew Bailey speech at the Annual Public Meeting 2019

     Speeches Published: 17/07/2019 Last modified: 17/07/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting.

129. Richard Baldwin conviction for money laundering revealed after reporting restrictions lifted

     Press Releases Published: 11/07/2019 Last modified: 02/08/2019
     On 13 July 2017, Richard Baldwin was convicted of dealing in criminal property between October 2007 and November 2008. The criminal property laundered was £1.5 million representing the proceeds of a conspiracy to insider deal by Martyn Dodgson and

130. Two found guilty of insider dealing

     Press Releases Published: 27/06/2019 Last modified: 27/06/2019
     Today Fabiana Abdel-Malek was sentenced to 3 years’ imprisonment and Walid Choucair sentenced to 3 years’ imprisonment in respect of five offences of insider dealing. Fabiana Abdel-Malek and Walid Anis Choucair were each convicted over the