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Showing 21 to 30 of 74 search results for proceedings in enforcement case.
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FCA appoints David Anthony Scott as Interim General Counsel and Raj Parker as a senior legal adviser
The FCA has appointed David Anthony Scott as its Interim General Counsel. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading
The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
FCA responds to High Court decision to stay proceedings in enforcement case
The Claimants issued a judicial review to challenge a decision by the FCA’s Regulatory Decisions Committee not to stay the regulatory proceedings against the first Claimant. -
FCA returns funds to victims of unauthorised deposit taking and collective investment schemes
The FCA has obtained High Court Approval to return £3.42 million to compensate victims of a series of unauthorised deposit taking and collective investment schemes. -
FCA secures interim restitution order against illegal deposit takers
The Financial Conduct Authority (FCA) has secured an interim restitution order of just over £676,000 against 5 of the 7 defendants accused of carrying on unauthorised deposit taking by accepting money for projects including forex-trading and -
Insider dealing convictions upheld by the Court of Appeal
The Court of Appeal (Criminal Division) upheld the convictions of Fabiana Abdel-Malek and Walid Choucair for insider dealing. -
FCA publicly censures Redcentric PLC for market abuse
The FCA has today issued a public censure to to Redcentric PLC (Redcentric) for committing market abuse between 9 November 2015 and 7 November 2016.