Showing 1 to 10 of 45 search results for global law enforcement authorities.

1. 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.

2. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

   Press Releases Published: 13/07/2023 Last modified: 13/07/2023
   The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

3. 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

4. Mark Steward to step down from the FCA

   Press Releases Published: 18/10/2022 Last modified: 18/10/2022
   Mark Steward has announced he will be stepping down as the FCA’s executive director of Enforcement and Market Oversight after seven years with the regulator.

5. Richard Lloyd – APM opening remarks 2022

   Speeches Published: 12/10/2022 Last modified: 12/10/2022
   Opening remarks by Richard Lloyd, interim Chair of the FCA, delivered at the FCA's 2022 Annual Public Meeting.

6. Finding opportunity in a world of uncertainty

   Speeches Published: 30/06/2022 Last modified: 30/06/2022
   Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference.

7. Listening up to level up – regulating finance for the whole of the UK

   Speeches Published: 20/05/2022 Last modified: 20/05/2022
   Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London.

8. 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

9. 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

10. The risks of token regulation

    Speeches Published: 06/09/2021 Last modified: 06/09/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime