enforcement

FCA opens enforcement operation against firm and individual over Consumer Duty breaches

Regulation

FCA opens enforcement operation against firm and individual over Consumer Duty breaches

Only one since the Duty came into force

clock 29 May 2025 • 3 min read
Tulip Siddiq stands firm against FCA 'name-and-shame' plans - reports

Regulation

Tulip Siddiq stands firm against FCA 'name-and-shame' plans - reports

'I do not think this is the end of the matter'

clock 05 December 2024 • 1 min read
National Audit Office finds 'significant delay' in FCA regulatory action

Regulation

National Audit Office finds 'significant delay' in FCA regulatory action

Financial services report

clock 08 December 2023 • 3 min read

Regulation

Goldman and UBS MiFID fines a 'statement of intent' from FCA

Enforcement could increase under MiFID II

clock 08 April 2019 • 3 min read

Regulation

Goldman Sachs slapped with £34m fine for 'serious and prolonged' MiFID reporting failures

On transactions between November 2007 and March 2017

clock 28 March 2019 • 2 min read

Regulation

Update: Fraudulent futures fund trader Starling jailed for five years

Mark Starling defrauded investors of £3m

clock 29 November 2018 • 2 min read

Regulation

FCA eyes enforcement shake-up

Will consult on penalty payments and enforcement policy

clock 21 March 2018 • 2 min read

Regulation

FCA fines and bans 'reckless' Libor rigger Danziger

Substantial fine for former RBS trader

clock 08 January 2018 • 3 min read

Regulation

Six guilty in £2.7m boiler room scams

Follows an FCA criminal law suit

clock 12 December 2017 • 2 min read

Regulation

Four prosecuted over £1.4m investment scheme scam

Caused ‘untold harm to consumers’

clock 01 December 2017 • 2 min read
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