Showing 1 to 10 of 577 search results for director of enforcement.

1. FCA sets out findings against Link Fund Solutions

   Press Releases Published: 11/04/2024 Last modified: 11/04/2024
   Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

2. Stuart Bayes found guilty of insider dealing 

   Press Releases Published: 28/03/2024 Last modified: 28/03/2024
   Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought by the Financial Conduct Authority (FCA).

3. Larry Barreto and Tassib Hussain sentenced for mortgage fraud

   Press Releases Published: 28/03/2024 Last modified: 28/03/2024
   On 27 March 2024, Larry Barreto and Tassib Hussain were sentenced for fraud offences following a prosecution brought by the FCA, which saw the pair convicted in November 2023.

4. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

   Press Releases Published: 18/03/2024 Last modified: 18/03/2024
   Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

5. Convicted money launderer meets confiscation order after imprisonment for failure to pay

   Statements Published: 15/03/2024 Last modified: 15/03/2024
   Money launderer and ex-solicitor, Dale Robert Walker has met his confiscation order, following 62 days' imprisonment for previously failing to pay.

6. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

   Press Releases Published: 11/03/2024 Last modified: 11/03/2024
   The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

7. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

8. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

9. FCA to improve pace and transparency around enforcement cases

   Press Releases Published: 27/02/2024 Last modified: 27/02/2024
   The Financial Conduct Authority (FCA) has today committed to carrying out enforcement cases more quickly as the organisation seeks to increase the deterrent impact of its enforcement actions.

10. Convicted illegal money lender imprisoned for failing to pay confiscation order

    Press Releases Published: 16/02/2024 Last modified: 16/02/2024
    Illegal money lender, Dharam Prakash Gopee (70), has been sentenced to almost 8 years in prison for failing to pay a confiscation order.