Showing 101 to 110 of 368 search results for take enforcement action.

101. FCA fines Barclays £26 million over treatment of customers in financial difficulty

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

102. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

103. Litigation & Enforcement (Clone of FCA authorised firm)

     Warnings Published: 03/12/2020 Last modified: 03/12/2020
     Litigation & Enforcement (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and

104. FCA fines TFS-ICAP £3.44 million for market misconduct

     Press Releases Published: 23/11/2020 Last modified: 23/11/2020
     The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

105. FCA bans three individuals from working in the financial services industry for non-financial misconduct

     Press Releases Published: 05/11/2020 Last modified: 05/11/2020
     The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of

106. FCA censures Aviva plc for listing and transparency rules breach

     Press Releases Published: 26/10/2020 Last modified: 26/10/2020
     The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.

107. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

     Press Releases Published: 22/10/2020 Last modified: 23/10/2020
     FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

108. FCA regulation of consumer credit – during the pandemic and beyond

     Speeches Published: 13/10/2020 Last modified: 14/10/2020
     Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference

109. 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.

110. FCA publishes Annual Report and Accounts 2019/20

     Press Releases Published: 10/09/2020 Last modified: 10/09/2020
     The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.