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Katherine of Alexandria Ltd – options for investors
pursue legal or enforcement action at the current time to close down either the company or the film investment scheme. -
UK FinTech: Regulating for innovation
Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered -
FCA fines and restricts W H Ireland Limited for market abuse risks
Mark Steward, director of enforcement and market oversight at the FCA, said: “We expect all firms to have the right controls in place to mitigate risks and protect their clients and -
£2.9 million to be returned to investors following FCA prosecution
Mark Steward, the FCA’s Director of Enforcement and Market Oversight said:. -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in -
The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings. -
Connaught Income Series 1 Fund — update to investors
The substantive review will begin once the current enforcement investigation has ended. ... As with other enforcement investigations, we will not comment on it as it progresses. -
FCA and PRA investigations into HBOS senior managers
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers. -
2016 fines
Enforcement fines published in 2016. -
Case concerning CEO referred to the Upper Tribunal
The FCA has taken enforcement action in respect of related failings at the group, including against Financial Ltd and Investments Ltd and Mr Stephen Bell, the group’s former Compliance Director .