Showing 21 to 30 of 70 search results for Joint Executive Director of Enforcement.

21. FCA decides to fine and ban James Staley

    Press Releases Published: 12/10/2023 Last modified: 12/10/2023
    Mr Staley has referred his Decision Notice to the Upper Tribunal where he will present his case.

22. FCA censures London Capital & Finance plc

    Press Releases Published: 11/10/2023 Last modified: 11/10/2023
    The Financial Conduct Authority (FCA) has censured London Capital & Finance (LCF) for its unfair and misleading financial promotions of minibonds.

23. Saluting our sisters for Black History Month

    Blogs Published: 10/10/2023 Last modified: 11/10/2023
    To mark Black History Month 2023, this blog by Therese Chambers offers a personal reflection and talks about our work to support positive change.

24. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

    Press Releases Published: 02/10/2023 Last modified: 02/10/2023
    The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

25. FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice

    Press Releases Published: 28/09/2023 Last modified: 28/09/2023
    The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services.

26. FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

    Press Releases Published: 13/09/2023 Last modified: 13/09/2023
    Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs.

27. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process.

28. Financial watchdog wins civil case against Ponzi-like care home investment scheme

    Press Releases Published: 01/08/2023 Last modified: 01/08/2023
    The High Court has ruled in favour of the FCA against Robin Forster, the director of a company which took £57 million from 380 investors in an illegal care home investment scheme.

29. Andrew and Peter Currie sentenced to a combined 8 years for fleecing consumers through Collateral P2P platform

    Press Releases Published: 14/07/2023 Last modified: 14/07/2023
    On 14 July 2023 Peter Currie and Andrew Currie were sentenced to 5.5 years and 2.5 years imprisonment for fraud and money laundering following prosecution by the FCA

30. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.