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Showing 52 to 61 of 314 search results for enforcement investigations.
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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. -
FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt
The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond -
FCA prohibits and fines Omar Hussein for pension switching advice failings
The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000. -
Richard Faithfull sentenced to over 5 years imprisonment for money laundering
On Thursday 9 September 2021 Richard Faithfull was sentenced to 5 years and 10 months imprisonment for laundering money, contrary to s.327 Proceeds of Crime Act 2002 -
FCA obtains High Court Order to remove hundreds of HM Land Registry charges, notices and restrictions registered against consumers’ properties by illegal money lender
This application is the latest in several legal proceedings commenced by the FCA against Dharam Prakash Gopee arising out of his illegal money lending activities -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017
The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within -
FCA appoints David Anthony Scott as Interim General Counsel and Raj Parker as a senior legal adviser
The FCA has appointed David Anthony Scott as its Interim General Counsel. -
LF Woodford Equity Income Fund investigation
We set out our public statements on the investigation into the circumstances relating to the suspension of the LF Woodford Equity Income fund -
The rise in scams and the threat to a legitimate financial services industry
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit.