Showing 71 to 80 of 550 search results for its enforcement.

71. FCA fines Gatehouse Bank £1.5m for poor anti-money laundering checks

    Press Releases Published: 14/10/2022 Last modified: 14/10/2022
    The Financial Conduct Authority has fined Gatehouse Bank Plc £1,584,100 for significant weakness in its financial crime systems and controls.

72. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

73. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

74. FCA research: A quarter of consumers would withdraw pension savings earlier to cover cost of living – making them vulnerable to scammer ‘misdirection’

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    The FCA launches its latest ScamSmart campaign aimed at giving consumers the knowledge and tools to avoid pension scams

75. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

76. FCA decides to impose conditions on takeover of Link Group

    Press Releases Published: 12/09/2022 Last modified: 12/09/2022
    Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link

77. 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.

78. FCA responds to complaints into its regulation of Premier FX

    Statements Published: 19/08/2022 Last modified: 19/08/2022
    Response to complaints from people who complained to the FCA after losing money when Premier FX (PFX), a payment services firm, authorised for money remittance, collapsed in 2018.

79. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

80. FCA warns Buy Now Pay Later firms about misleading adverts

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    Although some agreements are unregulated the financial promotions of all BNPL products must comply with the rules.