News
Search results
Showing 271 to 280 of 939 search results for enforcement.
-
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
Hartley Pensions update
A communication, sent to pension scheme members, contained factual inaccuracies which may have caused customer concern. -
FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
FCA obtains High Court judgment against unauthorised mortgage brokers
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 -
FCA bans director from working in financial services after violent criminal conviction
We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences -
FCA ramps up intervention on rogue financial promotions
The FCA intervened to amend or withdraw 4,151 financial promotions between July and September, the highest since it started publishing the data. -
Decision of the Court of Appeal - R (Sutton) v Financial Conduct Authority
The Court of Appeal has refused permission for a group of traders to proceed with a judicial review of the FCA’s decision to provide assistance to the United States Commodity Futures Trading Commission (CFTC) in an ongoing investigation. -
FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares
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. -
FCA proposes new rules to tackle greenwashing
In a bid to clamp down on greenwashing, the FCA is proposing a package of new measures including investment product sustainability labels and restrictions on how terms like ‘ESG’, ‘green’ or ‘sustainable’ can be used.