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Showing 1 to 10 of 624 search results for enforcement.

  1. FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 12/11/2021 Last modified: 12/11/2021
    Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls
  2. FCA acts to help investors make more informed ESG investment decisions

    Press Releases Published: 03/11/2021 Last modified: 03/11/2021
    The FCA is committed to helping investors put Environmental, Social and Governance (ESG) matters at the heart of their investment decisions.
  3. Investment Firms Prudential Regime final rules published

    News stories Published: 22/10/2021 Last modified: 22/10/2021
    We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID.
  4. Latest FCA perimeter report calls for legislative change to protect consumers

    Press Releases Published: 21/10/2021 Last modified: 21/10/2021
    In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit.
  5. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

    Press Releases Published: 19/10/2021 Last modified: 22/10/2021
    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
  6. FCA prohibits and fines Omar Hussein for pension switching advice failings

    Press Releases Published: 15/10/2021 Last modified: 15/10/2021
    The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.
  7. Partnerships, priorities and predictions for the future in the pensions market

    Speeches Published: 14/10/2021 Last modified: 14/10/2021
    Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association 
  8. Regulating for better outcomes - next steps in consumer credit

    Speeches Published: 08/10/2021 Last modified: 08/10/2021
    Speech by Nisha Arora, Director of Consumer and Retail Policy, given at Westminster Business Forum
  9. Stephen Allen sentenced to 28 months imprisonment for forging a trust deed

    Press Releases Published: 24/09/2021 Last modified: 24/09/2021
    Stephen Allen has today been sentenced to 28 months imprisonment for forging a trust deed in an attempt to help his client minimise restitution payments owed to victims.
  10. A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I

    Speeches Published: 24/09/2021 Last modified: 24/09/2021
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum