Showing 151 to 160 of 437 search results for enforcement cases.

151. Is this the decade of the credit union?

     Speeches Published: 17/01/2020 Last modified: 17/01/2020
     Speech by Charles Randell, Chair of the FCA, delivered at the National Credit Union Forum, Penrith.

152. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

     Press Releases Published: 17/12/2019 Last modified: 17/12/2019
     The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

153. FCA secures confiscation order totalling £5 million against illegal money lender

     Press Releases Published: 17/12/2019 Last modified: 17/12/2019
     On 11 December 2019, Southwark Crown Court made a confiscation order against Dharam Prakash Gopee in the sum of £5,118,018.72. The effect of the order is to confiscate all his criminal proceeds as an illegal money lender. Mr Gopee was also ordered

154. FCA fines Henderson £1.9m for fund failings

     Press Releases Published: 20/11/2019 Last modified: 24/01/2020
     The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North

155. Connaught Independent Review call for information closes but investigation remains open to affected individuals

     Press Releases Published: 20/11/2019 Last modified: 20/11/2019
     Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.

156. FCA and PRA publish Decision Notices given to former CEO who paid excessive remuneration to his wife to reduce his tax liability

     Press Releases Published: 18/11/2019 Last modified: 06/05/2022
     The Financial Conduct Authority (‘FCA’) and the Prudential Regulation Authority (‘PRA’) have decided to ban and fine Stuart Malcolm Forsyth, the former CEO of a small mutual insurer, £78,318 and £76,180 respectively. The regulators’

157. Andrew Bailey speech at Lord Mayor’s City Banquet

     Speeches Published: 24/10/2019 Last modified: 24/10/2019
     Andrew Bailey speech at the Lord Mayor's City Banquet at Mansion House.

158. Turning technology against financial crime

     Speeches Published: 23/10/2019 Last modified: 23/10/2019
     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Royal United Services Institute, London.

159. Regulation in a changing world

     Speeches Published: 21/10/2019 Last modified: 21/10/2019
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.

160. The FCA fines Tullett Prebon £15.4 million

     Press Releases Published: 11/10/2019 Last modified: 11/10/2019
     The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing