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Showing 11 to 20 of 106 search results for potential enforcement action against.
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FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
Agile regulation and planning for success
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022 -
FCA statement regarding potential enforcement action against Link Fund Solutions Ltd
This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange. -
Fighting financial crime – the force multiplier effect
Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD. -
FCA warns Buy Now Pay Later firms about misleading adverts
Although some agreements are unregulated the financial promotions of all BNPL products must comply with the rules. -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation -
How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
Finding opportunity in a world of uncertainty
Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference.