Showing 162 to 171 of 320 search results for enforcement investigations.

162. 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.

163. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

164. FCA secures eight confiscation orders totalling almost £2.2 million

     Press Releases Published: 24/05/2017 Last modified: 24/05/2017
     The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 

165. Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading

     Press Releases Published: 07/04/2017 Last modified: 27/06/2019
     The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS).

166. FCA bans and fines two individuals for market abuse

     Press Releases Published: 07/04/2017 Last modified: 07/04/2017
     The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

167. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases Published: 01/02/2017 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

168. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

     Press Releases Published: 31/01/2017 Last modified: 31/01/2017
     The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

169. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

170. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

171. FCA launches market study on competition in the mortgage sector

     Press Releases Published: 12/12/2016 Last modified: 10/04/2024
     The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.

172. Two plead guilty to insider dealing

     Press Releases Published: 30/11/2016 Last modified: 30/11/2016
     In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017