Showing 11 to 20 of 192 search results for taking Enforcement action.

11. FCA publishes Decision Notices for Banque Havilland SA and three of its former employees

    Press Releases Published: 05/05/2023 Last modified: 11/05/2023
    The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager, £54,000; and Vladimir Bolelyy, a former London branch employee, £14,200.

12. FCA sets out steps to improve whistleblower confidence

    Press Releases Published: 04/05/2023 Last modified: 04/05/2023
    The FCA sets out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on how it’s acted on their information; improving the use of information provided by whistleblowers; and improving

13. Regulation of Digital Assets in the UK

    Speeches Published: 25/04/2023 Last modified: 25/04/2023
    Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at City Week 2023.

14. FCA takes further action against unregistered crypto ATMs in East London

    Press Releases Published: 08/03/2023 Last modified: 13/03/2023
    In a joint operation with the Metropolitan Police, we have used our powers to inspect several sites suspected of hosting illegally operating crypto ATMs

15. How to organise a COO

    Speeches Published: 08/02/2023 Last modified: 08/02/2023
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

16. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

17. FCA obtains High Court judgment against unauthorised mortgage brokers

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    The FCA has obtained a judgment against London Property Investments (U.K) Limited (LPI), NPI Holdings Limited, their director Daniel Stevens and his father, Tony Stevens, for arranging mortgages without FCA authorisation and exploiting vulnerable

18. FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares

    Press Releases Published: 28/10/2022 Last modified: 28/10/2022
    On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect.

19. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

20. Fighting financial crime – the force multiplier effect

    Speeches Published: 07/09/2022 Last modified: 07/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.