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FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code
The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number -
Over 55s at heightened risk of fraud, says FCA
Mark Steward, Director of Enforcement at the FCA commented: 'You don’t need to be gullible to lose money to a scam or fraud. -
FCA Research into the issue of de-risking
Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by regulators and prosecutors. ... In doing this we will continue to work with the Government, law -
FCA fines and bans financial adviser for insider dealing
Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
Financial Conduct Authority’s regulatory sandbox opens to applications
do not easily fit into the existing regulatory framework and in some cases waivers or no enforcement action letters. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
15 month suspended sentence for director of debt management firm
Where we become aware of potential criminal activity in markets that we regulate, including debt management, we will work with the relevant law enforcement agencies as well as making appropriate use -
FCA wins case in the Supreme Court
In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at