Showing 131 to 140 of 436 search results for enforcement cases.

131. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

132. FCA fines TFS-ICAP £3.44 million for market misconduct

     Press Releases Published: 23/11/2020 Last modified: 23/11/2020
     The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

133. FCA censures Aviva plc for listing and transparency rules breach

     Press Releases Published: 26/10/2020 Last modified: 26/10/2020
     The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.

134. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

     Press Releases Published: 22/10/2020 Last modified: 23/10/2020
     FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

135. FCA regulation of consumer credit – during the pandemic and beyond

     Speeches Published: 13/10/2020 Last modified: 14/10/2020
     Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference

136. Market abuse in a time of coronavirus

     Speeches Published: 12/10/2020 Last modified: 12/10/2020
     Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

137. FCA secures £1.6m confiscation order against Richard Baldwin

     Press Releases Published: 05/10/2020 Last modified: 05/10/2020
     FCA secures £1.6m confiscation order against Richard Baldwin

138. High Court orders illegal pension introducers Avacade, Alexandra Associates and their directors to pay £10,715,000 restitution to consumers

     Press Releases Published: 10/08/2020 Last modified: 20/08/2020
     The two companies and three individuals must pay restitution to members of the public who were induced to transfer their pensions into self-invested personal pensions (SIPPs).

139. Capital market regulation and coronavirus

     Speeches Published: 07/08/2020 Last modified: 07/08/2020
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence.

140. High Court finds against illegal pension introducers, Avacade and others

     Press Releases Published: 30/06/2020 Last modified: 30/06/2020
     Today the High Court ruled in favour of the FCA in a civil action against 2 firms and their directors who provided pension services to consumers without FCA authorisation.