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Showing 91 to 100 of 298 search results for Following enforcement.
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Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
FCA censures Premier FX for payment rule breaches
The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations. -
The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation
Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team. -
Why does the FCA care about diversity and inclusion?
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, given at the Ethnic Diversity in the City and Corporate UK Summit. -
FCA issues warning over ‘clone firm’ investment scams
With over £78 million stolen in clone firm investment scams and the number of reports for this scam type on the rise, we warn the public -
Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation
Walid Choucair ordered to pay £4m in confiscation costs in respect of being convicted of five offences of insider dealing.