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Tag: Enforcement

Complyport UK Consultancy Service > Enforcement
  • 31 December 202102 November 2022
  • Latest News

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 […] [...]

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  • 30 June 201415 November 2017
  • Corporate Governance

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 […] [...]

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  • 02 June 201113 February 2017
  • Corporate Governance

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 […] [...]

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  • 01 April 201122 June 2018
  • Corporate Governance

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 […] [...]

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  • 10 February 201115 February 2017
  • Latest News

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 […] [...]

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  • 01 October 201014 March 2017
  • Corporate Governance

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) […] [...]

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  • 01 October 201014 March 2017
  • Latest News

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 […] [...]

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  • 09 August 201011 May 2017
  • Corporate Governance

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 […] [...]

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  • 02 July 201027 July 2017
  • Corporate Governance

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 […] [...]

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  • 19 May 201016 June 2017
  • Corporate Governance

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 […] [...]

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  • 26 February 201028 June 2017
  • Corporate Governance

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 […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
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The Regulatory Gateway for Financial Promotions is Here

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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