Showing 1 to 11 of 315 search results for enforcement investigations.

1. Should you invest?

   Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

2. 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.

3. 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.

4. 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.

5. 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.

6. Four men under investigation on suspicion of multiple offences

   Press Releases Published: 14/02/2024 Last modified: 14/02/2024
   The FCA and National Crime Agency (NCA) conducted a major operation to arrest 3 London based individuals.

7. Shifting the dial on financial crime requires a collective push

   Blogs Published: 09/02/2024 Last modified: 09/02/2024
   Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime.

8. Duty calls: Future-proofing finance for everyone

   Press Releases Published: 28/12/2023 Last modified: 03/01/2024
   Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months.

9. FCA responds to the Complaints Commissioner’s Final Report into Premier FX Limited

   Statements Published: 18/12/2023 Last modified: 18/12/2023
   We have responded to the Financial Regulators Complaints Commissioner's Final Report into complaints from those affected by the collapse of Premier FX Limited in 2018.

10. FCA writes to the Treasury Committee on Blackmore Bonds

    Statements Published: 06/12/2023 Last modified: 06/12/2023
    The FCA has written to the Treasury Committee about its decision not to take enforcement action following investigations into NCM Fund Services Ltd and Northern Provident Investments Ltd.

11. FCA censures NMC Health Plc (in Administration) for market abuse

    Press Releases Published: 17/11/2023 Last modified: 17/11/2023
    ADD text