Showing 11 to 20 of 367 search results for executive director of enforcement.

11. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

    Press Releases Published: 18/03/2024 Last modified: 18/03/2024
    Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

12. Convicted money launderer meets confiscation order after imprisonment for failure to pay

    Statements Published: 15/03/2024 Last modified: 15/03/2024
    Money launderer and ex-solicitor, Dale Robert Walker has met his confiscation order, following 62 days' imprisonment for previously failing to pay.

13. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

    Press Releases Published: 11/03/2024 Last modified: 11/03/2024
    The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

14. Evolving our enforcement approach to protect and grow our markets

    Speeches Published: 27/02/2024 Last modified: 27/02/2024
    Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

15. FCA to improve pace and transparency around enforcement cases

    Press Releases Published: 27/02/2024 Last modified: 27/02/2024
    The Financial Conduct Authority (FCA) has today committed to carrying out enforcement cases more quickly as the organisation seeks to increase the deterrent impact of its enforcement actions.

16. Convicted illegal money lender imprisoned for failing to pay confiscation order

    Press Releases Published: 16/02/2024 Last modified: 16/02/2024
    Illegal money lender, Dharam Prakash Gopee (70), has been sentenced to almost 8 years in prison for failing to pay a confiscation order.

17. Mohammed Zina found guilty of insider dealing and fraud

    Press Releases Published: 15/02/2024 Last modified: 15/02/2024
    Mohammed Zina was found guilty of six offences of insider dealing and three offences of fraud following a 12-week trial at Southwark Crown Court brought by the FCA.

18. Four men under investigation on suspicion of multiple offences

    Press Releases Published: 14/02/2024 Last modified: 14/02/2024
    The FCA and National Crime Agency (NCA) conducted a major operation to arrest 3 London based individuals.

19. FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions

    Press Releases Published: 13/02/2024 Last modified: 13/02/2024
    The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial

20. Scammers looking to exploit financial stress at Christmas, FCA warns

    Scams Press Releases Published: 06/12/2023 Last modified: 06/12/2023
    The FCA warns of the risk of loan fee fraud as almost two-thirds of parents feel pressured to spend above their means at Christmas.