Showing 1 to 11 of 37 search results for enforcement investigations in March 2015.

1. 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.

2. FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims

   Press Releases Published: 05/06/2023 Last modified: 05/06/2023
   The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately

3. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

   Press Releases Published: 09/12/2022 Last modified: 09/12/2022
   The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

4. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

   Press Releases Published: 26/08/2022 Last modified: 26/08/2022
   PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

5. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

   Press Releases Published: 11/02/2022 Last modified: 11/02/2022
   Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

6. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

   Press Releases Published: 17/12/2020 Last modified: 17/12/2020
   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)

7. FCA fines Commerzbank London £37,805,400 over anti-money laundering failures

   Press Releases Published: 17/06/2020 Last modified: 03/07/2020
   The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017.

8. FCA secures orders for victims of unauthorised share scheme

   Press Releases Published: 06/05/2020 Last modified: 07/05/2020
   The High Court today ordered four individuals and one company to pay nearly £3.62m in restitution to members of the public who bought shares that were promoted unlawfully.

9. Connaught Fund Independent Reviewer announces update on delivery of his report

   News stories Published: 20/03/2020 Last modified: 18/09/2020
   Raj Parker, the Independent Reviewer into the FSA/FCA approach to the Connaught Income Fund Series 1 (the Fund), has announced that he expects that his draft report will be delivered in early May 2020.

10. Unstable coins: cryptoassets, financial regulation and preventing financial crime in the emerging market for digital assets

    Speeches Published: 06/03/2020 Last modified: 06/03/2020
    Speech delivered by Therese Chambers, Director of Retail and Regulatory Investigations at the FCA, on cryptoassets.

11. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.