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Showing 491 to 500 of 939 search results for enforcement.

491. FCA wins case against unauthorised forex firm

     Press Releases

     Published: 22/05/2019

     Last modified: 23/07/2026

     Following an application by the FCA, the High Court, on 14 May 2019, declared that Xcore Capital Limited and an individual had carried on an unauthorised investment scheme.

492. Over £27 million reported lost to crypto and forex investment scams

     Press Releases

     Published: 21/05/2019

     Last modified: 21/05/2019

     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

493. Financial conduct regulation in a restless world

     Speeches

     Published: 08/05/2019

     Last modified: 08/05/2019

     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

494. FCA launch the Financial Services Regulatory Partners Phoenixing Group

     Statements

     Published: 03/05/2019

     Last modified: 03/05/2019

     The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services.

495. Financial Conduct Authority (FCA) publishes feedback statement on Duty of Care

     Press Releases

     Published: 23/04/2019

     Last modified: 11/04/2024

     The FCA has summarised responses to its Discussion Paper – ‘A duty of care and potential alternative approaches’ – and sets out next steps.

496. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases

     Published: 10/04/2019

     Last modified: 10/04/2019

     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

497. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

     Press Releases

     Published: 09/04/2019

     Last modified: 09/04/2019

     The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

498. UK Financial Conduct Authority and Australian Securities and Investments Commission agree to strengthen cooperation post-Brexit

     Press Releases

     Published: 08/04/2019

     Last modified: 08/04/2019

     The UK Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) today announced they have agreed two Memoranda of Understanding to ensure there is continuity once the UK leaves the European Union. The MoUs

499. Partly contested cases, the pipeline and AML investigations

     Speeches

     Published: 04/04/2019

     Last modified: 04/04/2019

     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

500. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

     Press Releases

     Published: 28/03/2019

     Last modified: 28/03/2019

     Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.