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Showing 51 to 60 of 859 search results for enforcement.

51. Setting the foundations for our future strategy

    Speeches

    Published: 26/11/2024

    Last modified: 26/11/2024

    Speech by Emily Shepperd, FCA chief operating officer, delivered at the TheCityUK National Conference in Birmingham.

52. MBL fined £13m for serious control failures that allowed trader to conceal over 400 fictitious trades

    Press Releases

    Published: 26/11/2024

    Last modified: 26/11/2024

    The FCA has fined Macquarie Bank Limited - London Branch (MBL) £13m for serious failings that allowed one of its employees to record over 400 fictitious trades.

53. FCA fines Barclays £40 million

    Press Releases

    Published: 25/11/2024

    Last modified: 25/11/2024

    The FCA has fined Barclays £40 million in total for its failure to disclose certain arrangements with Qatari entities in 2008.

54. FCA bans director following grievous bodily harm conviction

    Press Releases

    Published: 18/11/2024

    Last modified: 18/11/2024

    The FCA has banned Mr Ari Harris from working in financial services.

55. FCA fines and bans Craig Buchan and Martin Cooke for recklessly breaching requirements

    Press Releases

    Published: 15/11/2024

    Last modified: 15/11/2024

    Craig Buchan and Martin Cooke, former partners of MedDen Financial Services LLP (MedDen), have been fined £6,037 and £6,020 (respectively) and banned by the FCA for recklessly breaching an asset requirement imposed on the firm.

56. New rules to strengthen resilience of UK’s financial sector

    Statements

    Published: 12/11/2024

    Last modified: 12/11/2024

    The regulators are introducing new policy rules to ensure operational resilience of critical third parties.

57. FCA fines Metro Bank £16m for financial crime failings

    Press Releases

    Published: 12/11/2024

    Last modified: 12/11/2024

    The FCA has fined Metro Bank plc £16,675,200 for failing to have the right systems and controls to adequately monitor money laundering risks between 2016 and 2020.

58. Enforcement regulatory disclosure review: outcome

    Firms Regulated firms Statements

    Published: 11/11/2024

    Last modified: 11/11/2024

    Following a review, the FCA has improved our disclosure processes in regulatory enforcement cases.

59. Director fined £1.1m and banned for misusing funds due to insurers

    Press Releases

    Published: 11/11/2024

    Last modified: 11/11/2024

    The FCA has banned Leigh Mackey from working in financial services and fined him £1,102,879 for misleading the FCA and misusing funds due to insurers.

60. FCA secures convictions against two individuals for £1.5m fraud

    Press Releases

    Published: 07/11/2024

    Last modified: 07/11/2024

    Two individuals have been convicted for their roles in an £1.5 million investment fraud following a prosecution brought by the FCA.