Showing 122 to 131 of 317 search results for enforcement investigations.

122. 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.

123. FCA and PSR Boards appoint new members to decision-making committees

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     During her time at the CMA she has served on the panels for energy market investigation and investment consultants. ... Whilst at the CMA, he chaired Phase 2 mergers inquiries, payday lending market investigation and four Case Decision Groups.

124. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

     Press Releases Published: 06/11/2018 Last modified: 06/11/2018
     The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).

125. The FCA has fined Liberty Mutual Insurance Europe SE £5.2 million for failures in its oversight of mobile phone insurance claims and complaints handling

     Press Releases Published: 30/10/2018 Last modified: 30/10/2018
     The Financial Conduct Authority (FCA) has fined Liberty Mutual Insurance Europe SE (Liberty) £5,280,800 for failures between 5 July 2010 and 7 June 2015 in its oversight of its mobile phone insurance claims and complaints handling processes

126. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

     Press Releases Published: 27/09/2018 Last modified: 27/09/2018
     The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

127. The FCA announces outcome of investigation into 4 life insurance companies

     Press Releases Published: 19/09/2018 Last modified: 19/09/2018
     The Financial Conduct Authority (FCA) has today announced that its remaining investigations into firms, following its thematic review into the fair treatment of longstanding customers in the life insurance sector, have each been closed.

128. Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 17/09/2018 Last modified: 17/09/2018
     Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling

129. Andrew Bailey speech at the Annual Public Meeting 2018

     Speeches Published: 11/09/2018 Last modified: 11/09/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

130. Five sentenced in FCA prosecution of £2.8m investment fraud

     Press Releases Published: 04/09/2018 Last modified: 04/09/2018
     Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018.

131. MiFID II and the fight against financial crime

     Speeches Published: 11/07/2018 Last modified: 20/07/2018
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

132. Has the industry improved ten years on?

     Speeches Published: 14/06/2018 Last modified: 15/06/2018
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018.