Showing 81 to 90 of 192 search results for taking Enforcement action.

81. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

82. Manraj Virdee sentenced to 2 years for illegally operating an investment scheme and fraud

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    In a case brought by the Financial Conduct Authority (FCA), Manraj Virdee was yesterday sentenced at Southwark Crown Court to a 2 year prison sentence suspended for 2 years and he was further ordered to carry out 300 hours of unpaid work in the

83. Consumer warning – Larksway Investments Limited (in Liquidation)

    News stories Published: 27/11/2018 Last modified: 18/05/2021
    Larksway Investments Limited (Larksway) was referred to the FCA's Enforcement and Market Oversight Division on 5 April 2016.

84. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

85. FCA and TPR publish joint pensions strategy

    Press Releases Published: 18/10/2018 Last modified: 18/10/2018
    The Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) have today launched a joint regulatory strategy aimed at strengthening their relationship, and taking joint action to deliver better outcomes for pension savers and those

86. Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud

    Press Releases Published: 17/09/2018 Last modified: 17/09/2018
    Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling

87. Four former directors of online consumer credit broker banned for misleading customers

    Press Releases Published: 25/07/2018 Last modified: 25/07/2018
    The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My Money Limited (now dissolved).

88. FCA statement on thematic review into fair treatment of longstanding customers in the life insurance sector

    Statements Published: 12/06/2018 Last modified: 15/06/2018
    On 3 March 2016 the Financial Conduct Authority (FCA) announced investigations into six firms as a result of its thematic review into the fair treatment of longstanding customers.

89. The FCA’s Business Plan and Priorities

    Speeches Published: 16/05/2018 Last modified: 16/05/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester

90. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence