Showing 172 to 181 of 321 search results for enforcement investigations.

172. 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.

173. 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

174. The rationale for the FCA’s Mission and the context which the FCA operates in

     Speeches Published: 26/10/2016 Last modified: 10/11/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

175. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

176. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

177. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

     Press Releases Published: 09/08/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

178. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

179. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Mr Breeze made admissions in interview and proactively cooperated with the FCA’s investigation, for which he received a discount of 15%.

180. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Towergate agreed to settle at an early stage of the Authority’s investigation. ... Mr Philip agreed to settle at an early stage of the Authority’s investigation.

181. FCA bans two individuals for lack of integrity

     Press Releases Published: 09/06/2016 Last modified: 09/06/2016
     While further investigations continue, the FCA considers it necessary to prohibit them to help protect consumers.”. ... The FCA understands that further investigations are continuing. On 1 April 2013 the FCA became responsible for the conduct

182. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... CT Capital agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 20% (stage 2) discount.