Showing 321 to 330 of 334 search results for Director of Enforcement and Market Oversight at the FCA said.

321. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

     Press Releases Published: 07/08/2014 Last modified: 07/08/2014
     Tracey McDermott, FCA director of enforcement and financial crime said:. "Customers are entitled to expect firms to provide them with fair and balanced information to enable them to make the right ... The FCA has an overarching strategic objective of

322. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote market

323. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

324. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 28/06/2024
     Speech by Clive Adamson, director of supervision, at the General Insurance conference, London.

325. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... The FCA has an overarching strategic objective of ensuring the

326. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

327. FCA bans partners of firm that failed to consider customer SIPP suitability

     Press Releases Published: 17/04/2014 Last modified: 20/05/2014
     Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

328. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant markets function well.

329. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... The FCA has an overarching strategic objective of ensuring the relevant

330. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant