Showing 152 to 161 of 320 search results for enforcement investigations.

152. 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.

153. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

154. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

155. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

     Press Releases Published: 17/10/2017 Last modified: 17/10/2017
     The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 

156. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

157. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

158. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

159. Overview of competition at the FCA

     Speeches Published: 03/08/2017 Last modified: 03/08/2017
     Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

160. FCA secures £350,000 confiscation order against convicted insider dealer

     Press Releases Published: 24/07/2017 Last modified: 24/07/2017
     Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3

161. The use of the interbank rate in online currency converter tools

     Statements Published: 19/07/2017 Last modified: 19/07/2017
     The FCA has the power under the EMRs and PSRs to impose a requirement on a firm’s authorisation/registration, and may enforce the CPRs by obtaining an enforcement order under ... We previously advised that if we considered that firms were not acting in

162. FCA fines compliance oversight officer for pension transfer failings

     Press Releases Published: 14/07/2017 Last modified: 14/07/2017
     The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB