Enforcement Actions
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18 results
Enforcement Actions
FCA spent over £300k on insider dealing duo who made £43k
The UK Financial Conduct Authority (FCA) spent over £300,000 investigating and prosecuting two men who made about £43,000 through insider...
Enforcement Actions
Over 50% of FCA investigations are public
More than half of UK Financial Conduct Authority (FCA) investigations into regulated listed firms or publicly traded firms are in...
Financial Crime
Jailed UK art dealer ignored due diligence platformʼs alert on Hezbollah financier
Jailed UK art dealer Oghenochuko Ojiri, who knowingly sold art to a sanctioned Hezbollah financier, subscribed to and used an...
Social
IOSCO: regulators target finfluencers, many report enforcements
International securities regulators are targeting finfluencers, with nearly half (44%) reporting enforcement actions related to online financial content, according to...
Enforcement Actions
Q1 fines top $7bn globally thanks to Ponzi penalty
Financial services fines in the first quarter of 2025 topped $7 billion globally thanks to a $5.9 billion civil penalty...
Enforcement Actions
Commissioner: SEC’s crypto dismissals undermine our credibility
The US Securities and Exchange Commission’s (SEC) has come under fire by one of its own commissioners for its dismissal...
Enforcement Actions
Jailed crypto ATM operator known to UK authorities for years before conviction
UK authorities knew about unauthorised crypto automated teller machine (ATM) operator Olumide Osunkoya for years prior to his conviction in...
Financial Crime
Barclays faces second financial crime investigation in three years
Barclays is facing its second financial crime investigation in the UK in three years, the bank has revealed in its...
