enforcement
Goldman and UBS MiFID fines a 'statement of intent' from FCA
Enforcement could increase under MiFID II
Goldman Sachs slapped with £34m fine for 'serious and prolonged' MiFID reporting failures
On transactions between November 2007 and March 2017
Update: Fraudulent futures fund trader Starling jailed for five years
Mark Starling defrauded investors of £3m
FCA eyes enforcement shake-up
Will consult on penalty payments and enforcement policy
FCA fines and bans 'reckless' Libor rigger Danziger
Substantial fine for former RBS trader
Six guilty in £2.7m boiler room scams
Follows an FCA criminal law suit
Four prosecuted over £1.4m investment scheme scam
Caused ‘untold harm to consumers’
Regulators ramp up enforcement actions on individuals
FCA’s total fines fall by 98%
Jailed ex-Schroders trader ordered to pay £350k for insider trading
Could face an additional three years behind bars
FCA to launch third party review of Connaught collapse
Speaking at annual public meeting
FCA dawn raids approach pre-crisis lows
Fines also falling
FCA to introduce 'streamlined' enforcement process
‘Focused resolution agreements'
UK trader arrested over 2010 flash crash
A UK futures trader has been accused by US authorities of contributing to the 2010 'flash crash' which saw the Dow Jones plunge 600 points in five minutes.
Government demands transparency over FCA enforcement actions
The government has asked the Financial Conduct Authority (FCA) to be more transparent in its supervision and enforcement actions, in a review released yesterday.
FCA refers one firm to enforcement over RDR changes
The Financial Conduct Authority (FCA) has found evidence of increasing professionalism in the financial advice sector, it said today, but one firm has been referred to enforcement for "insufficiently engaging" with RDR changes.
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