Showing 112 to 121 of 317 search results for enforcement investigations.

112. Should you invest?

     Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

113. FCA launch the Financial Services Regulatory Partners Phoenixing Group

     Statements Published: 03/05/2019 Last modified: 03/05/2019
     The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services.

114. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

115. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

     Press Releases Published: 09/04/2019 Last modified: 09/04/2019
     The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

116. Partly contested cases, the pipeline and AML investigations

     Speeches Published: 04/04/2019 Last modified: 04/04/2019
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

117. What can the consumer credit sector expect from the FCA?

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

118. FCA puts the spotlight on debt management firms

     Press Releases Published: 15/03/2019 Last modified: 15/03/2019
     The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal

119. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

     Press Releases Published: 13/03/2019 Last modified: 20/12/2019
     The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

120. FCA issues its first decision under competition law

     Press Releases Published: 21/02/2019 Last modified: 21/02/2019
     The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

121. Market abuse requires a dynamic response to a changing risk profile

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     All forms of behaviour can be found in our market abuse investigations, from deliberate criminal wrong-doing, to regulatory wrong-doing, to errors of judgement that might not meet the definition ... These are nuanced issues but they reflect that the

122. FCA fines former fund manager Paul Stephany

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.