Showing 31 to 40 of 296 search results for enforcement action against.

31. Update on potential enforcement action against Link Fund Solutions

    Statements Published: 20/02/2023 Last modified: 20/02/2023
    The Financial Conduct Authority (FCA) is providing a short update on its proposed enforcement action against Link Fund Solutions Ltd (LFS). 

32. FCA takes action against unregistered crypto ATM operators in Leeds

    Press Releases Published: 14/02/2023 Last modified: 14/02/2023
    The Financial Conduct Authority (FCA) has used its powers to enter and inspect several sites around Leeds suspected of hosting illegally operated crypto ATMs.

33. Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime

    Statements Published: 06/02/2023 Last modified: 06/02/2023
    All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime.

34. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

35. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

36. FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals

    Press Releases Published: 30/11/2022 Last modified: 28/09/2023
    We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.

37. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

    Speeches Published: 29/11/2022 Last modified: 08/01/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

38. FCA issues Final Notice to former CEO for anti-money laundering failings

    Press Releases Published: 18/11/2022 Last modified: 18/11/2022
    We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

39. FCA obtains High Court judgment against unauthorised mortgage brokers

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    The FCA has obtained a judgment against London Property Investments (U.K) Limited (LPI), NPI Holdings Limited, their director Daniel Stevens and his father, Tony Stevens, for arranging mortgages without FCA authorisation and exploiting vulnerable

40. FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares

    Press Releases Published: 28/10/2022 Last modified: 28/10/2022
    On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect.