Showing 41 to 50 of 436 search results for enforcement cases.

41. FCA publishes Decision Notices for Banque Havilland SA and three of its former employees

    Press Releases Published: 05/05/2023 Last modified: 11/05/2023
    The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200.

42. OPBAS publishes report on legal and accountancy sector supervision

    Press Releases Published: 28/04/2023 Last modified: 28/04/2023
    In its fourth report, the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has found that professional bodies are continuing to demonstrate good levels of compliance with money laundering regulations but improvements in how

43. Regulation of Digital Assets in the UK

    Speeches Published: 25/04/2023 Last modified: 25/04/2023
    Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at City Week 2023.

44. Redress for Woodford Equity Income Fund investors

    News stories Published: 19/04/2023 Last modified: 19/04/2023
    Following the announcement of redress as part of their enforcement case against Link Fund Solutions, the FCA explains what this means if you invested in the Woodford Equity Income Fund.

45. FCA announces plan to deliver significant redress to Woodford investors

    Press Releases Published: 19/04/2023 Last modified: 19/04/2023
    Following an investigation by the FCA, Link Fund Solutions has agreed to provide, with a material contribution from its ultimate parent, Link Administration Holdings (Link Group), a significant redress payment to investors in the LF Woodford Equity

46. FCA appoints executive directors to co-lead Enforcement and Market Oversight

    Press Releases Published: 23/03/2023 Last modified: 23/03/2023
    The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors of Enforcement and Market Oversight.

47. How to organise a COO

    Speeches Published: 08/02/2023 Last modified: 08/02/2023
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

48. FCA issues statement of objections to 3 money transfer firms

    Press Releases Published: 25/01/2023 Last modified: 25/01/2023
    In a statement of objections, the Financial Conduct Authority (FCA) alleges that Dollar East (International Travel & Money Transfer) Ltd, Hafiz Bros Travel & Money Transfer Limited, and LCC Trans-Sending Limited (including its parent company Small

49. Michael Nascimento sentenced for failing to pay confiscation order

    Press Releases Published: 17/01/2023 Last modified: 17/01/2023
    Mr Nascimento has been sentenced to an additional almost four years in prison for failing to pay a confiscation order made against him.

50. TSB fined £48.65m for operational resilience failings

    Press Releases Published: 20/12/2022 Last modified: 20/12/2022
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have fined TSB Bank plc (“TSB”) a total of £48,650,000 for operational risk management and governance failures, including management of outsourcing risks,