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Showing 62 to 71 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 proposes stronger protection for consumers in financial markets
Plans for a new Consumer Duty which will set a higher level of consumer protection in retail financial markets -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
FCA launches campaign to encourage individuals to report wrongdoing
The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
FCA censures Premier FX for payment rule breaches
The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations. -
Statement by Mark Steward, FCA Director of Enforcement and Market Oversight, on Woodford Investment Management Ltd and WCM Partners Ltd
We have noted the recent comments by Neil Woodford on his future business plans. This statement sets out our position on specific points on which we have been asked for information. -
FCA clamps down on consumer investment harm
The FCA highlights the many ways in which it works to protect consumers from investment harm by stopping and disrupting potentially harmful firms and activities. -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)