Showing 51 to 60 of 156 search results for law enforcement.

51. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

    Press Releases Published: 06/05/2021 Last modified: 06/05/2021
    We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

52. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

53. Cautious optimism for the post-pandemic world

    Speeches Published: 23/04/2021 Last modified: 23/04/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.

54. Insider dealing convictions upheld by the Court of Appeal

    Press Releases Published: 16/12/2020 Last modified: 16/12/2020
    The Court of Appeal (Criminal Division) upheld the convictions of Fabiana Abdel-Malek and Walid Choucair for insider dealing. 

55. Market abuse in a time of coronavirus

    Speeches Published: 12/10/2020 Last modified: 12/10/2020
    Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

56. FCA bans IFA directors who provided false and misleading SIPP declarations

    Press Releases Published: 12/10/2020 Last modified: 12/10/2020
    The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. 

57. Pension savers claim over £30 million lost to scams as regulators urge footie fans to show scammers the red card

    Press Releases Published: 25/08/2020 Last modified: 25/08/2020
    A total of £30,857,329 has been reportedly lost to pension scammers since 2017 according to complaints filed with Action Fraud, says the Financial Conduct Authority and The Pensions Regulator.

58. 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.

59. Covid-19: savers stay calm and don't rush financial decisions

    Press Releases Published: 01/04/2020 Last modified: 03/04/2020
    The Pensions Regulator (TPR), the FCA and The Money and Pensions Service (MaPS) urge savers to keep calm and not rush to make any decisions about their pension in response to the coronavirus (Covid-19) pandemic.

60. FCA and PSR respond to the CMA’s guidance on business cooperation under competition law

    Statements Published: 27/03/2020 Last modified: 27/03/2020
    Both the FCA and PSR are supportive of the CMA’s guidance on its approach to business cooperation under competition law, which was published on 25 March 2020.