Showing 111 to 120 of 436 search results for enforcement cases.

111. Levelling the playing field – innovation in the service of consumers and the market

     Speeches Published: 20/04/2021 Last modified: 20/04/2021
     Speech by our CEO, Nikhil Rathi, to FinTech Week.

112. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

     Press Releases Published: 20/04/2021 Last modified: 20/04/2021
     We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

113. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

114. High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading

     Press Releases Published: 25/03/2021 Last modified: 08/04/2024
     The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.

115. FCA launches campaign to encourage individuals to report wrongdoing

     Press Releases Published: 24/03/2021 Last modified: 24/03/2021
     The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

116. From regulator to firm to consumer: a virtuous chain of events

     Speeches Published: 18/03/2021 Last modified: 18/03/2021
     Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

117. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

118. FCA fines and prohibits trader for market abuse

     Press Releases Published: 04/03/2021 Last modified: 04/03/2021
     The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

119. FCA censures Premier FX for payment rule breaches

     Press Releases Published: 25/02/2021 Last modified: 26/02/2021
     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.

120. FCA responds to High Court decision to stay proceedings in enforcement case

     Press Releases Published: 24/02/2021 Last modified: 26/02/2021
     The Claimants issued a judicial review to challenge a decision by the FCA’s Regulatory Decisions Committee not to stay the regulatory proceedings against the first Claimant.