Showing 61 to 70 of 412 search results for supervision and enforcement.

61. Connaught Fund Independent Reviewer announces update on delivery of his report

    News stories Published: 20/03/2020 Last modified: 18/09/2020
    Raj Parker, the Independent Reviewer into the FSA/FCA approach to the Connaught Income Fund Series 1 (the Fund), has announced that he expects that his draft report will be delivered in early May 2020.

62. OPBAS publishes report on progress and themes from 2019

    Press Releases Published: 19/03/2020 Last modified: 19/03/2020
    The FCA’s Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has today released its latest report on progress made in tackling money laundering over the past year.

63. 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.

64. Our approach to ensuring firms treat vulnerable customers fairly

    Speeches Published: 05/03/2020 Last modified: 06/03/2020
    Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference.

65. The FCA fines Moneybarn £2.77m for unfair treatment of customers in arrears

    Press Releases Published: 17/02/2020 Last modified: 02/03/2020
    The Financial Conduct Authority (FCA) has today imposed a fine of £2.77 million on car finance provider, Moneybarn Ltd (Moneybarn), for not treating customers fairly when they fell behind with loan repayments while in financial difficulties,

66. Market integrity and strategic approach

    Speeches Published: 07/02/2020 Last modified: 20/03/2024
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets.

67. FCA returns funds to land banking victims

    Press Releases Published: 14/01/2020 Last modified: 14/01/2020
    FCA returns funds to land banking victims

68. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

69. First-tier Tribunal upholds decision to fine Hall and Hanley Limited for data breaches and unauthorised copying of client signatures

    Press Releases Published: 18/12/2019 Last modified: 18/12/2019
    The First-tier Tribunal (the Tribunal) has upheld a fine of £91,000 imposed on Hall and Hanley Limited (H&H) by the Claims Management Regulator (CMR), the former regulator for claims management companies (CMCs). The hearing for the Tribunal was

70. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North