Enforcement - Complyport UK Consultancy Service

Warning Notice Statements For GAM International Management and Timothy Haywood

In 2018 the FCA launched an investigation into Swiss asset management firm – GAM International Management Limited (GIML). The investigation was prompted by allegations concerning Timothy Haywood, former head of […] [...]

FCA: Enforcement and Supervision

No sooner had the FCA issued its policy statement on Enhanced Supervision (‘Tackling serious failings in firms‘ – see previous article in this Regulatory Roundup) than the Regulator published its […] [...]

Decisions, Decisions

In Regulatory Roundup 22 mention was made of the FSA being given the power to publish decision notices as well as final notices. An enforcement case consists of a warning […] [...]

FSA Business Plan 2011/12

The FSA has published its business plan setting out its priorities for 2011/12. Obviously regulatory reform is uppermost in the plan (section 1 contains further details on what is coming […] [...]

Shadow Partner Banned

In June of last year Vantage Capital Markets LLP (VCM), an inter-dealer broker, was subject to a fine of £700K arising from the activities of Daniel Hassell. Mr Hassell’s former […] [...]

Final Notice (part 2)

In Regulatory Roundup 16 we highlighted the case of Anjam Ahmad, a hedge fund trader with AKO Capital, who profited (that is until the FSA got to hear about it) […] [...]

More Enforcement Actions

Related Final Notices in respect of Gerald Casey of First Colonial Investments LLP (“FCI”) and Direct Sharedeal Ltd (“DSL”) have been published. At one level it is yet another case […] [...]

Fuzzy matching and financial sanctions

The big fine imposed on Royal Bank of Scotland (£5.6m) by the FSA for breaches of Money Laundering Regulations 2007 hit the headlines earlier this week. Apart from issues with […] [...]

FSA Enforcement Conference 2010

Margaret Cole emphasised the FSA’s strong and continuing commitment to their aim of credible deterrence, which she described as meaning ‘having an enforcement team who are seen as a force […] [...]

Financial Services and Markets Tribunal

It will be noted that the final notices (Alpari (UK) Ltd and Sudip to Chattopadhyay) now refer to a firm/individual being able to appeal to the Upper Tribunal (Tax and […] [...]

Broken

Two brokers, Wills & Co and Direct Sharedeal (‘DS’), both met with FSA actions in February and there has been a large amount of publicity about both cases. Common to […] [...]

Tag: Enforcement

Warning Notice Statements For GAM International Management and Timothy Haywood

FCA: Enforcement and Supervision

Decisions, Decisions

FSA Business Plan 2011/12

Shadow Partner Banned

Final Notice (part 2)

More Enforcement Actions

Fuzzy matching and financial sanctions

FSA Enforcement Conference 2010

Financial Services and Markets Tribunal

Broken

INSIGHTS & EXPERTISE

NEWS & EVENTS

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Women in Compliance: Navigating Challenges & Embracing Opportunities

Webinar: The FCA’s Greenwashing Regulations are Now in Effect – What Does this Mean?

Online Training Course: Your MLRO Training Day

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Webinar: Is Your AML Compliance Robust Enough?

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