Showing 1 to 10 of 25 search results for intend to take enforcement action against.

1. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

2. Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime

   Statements Published: 06/02/2023 Last modified: 06/02/2023
   All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime.

3. Update for firms on PRIIPs RTS Article 18 and related rules

   Statements Published: 29/12/2021 Last modified: 21/01/2022
   The extension which starts from 31 December 2021 to 31 December 2026 means that UCITS funds offered to UK retail investors can continue to supply either a PRIIPs key information document or a UCITS key investor information document.

4. Information for firms who use certain exemptions to the Financial Promotions Order

   Statements Published: 21/07/2021 Last modified: 21/07/2021
   A statement to outline how we intend to proceed given the accidental error in the onshoring of the FPO.

5. Locking down market abuse

   Speeches Published: 08/03/2021 Last modified: 08/03/2021
   Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

6. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

   Press Releases Published: 15/12/2020 Last modified: 15/12/2020
   The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

7. 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.

8. FCA confirms extension of the Temporary Permission Regime deadline

   Press Releases Published: 24/05/2019 Last modified: 24/05/2019
   The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

9. Partly contested cases, the pipeline and AML investigations

   Speeches Published: 04/04/2019 Last modified: 04/04/2019
   FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

10. Brexit and beyond

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.