Showing 301 to 310 of 401 search results for FCA's enforcement and market oversight.

301. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

302. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

     Press Releases Published: 05/10/2016 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

303. Alex Hope sentenced for failing to pay confiscation order

     Press Releases Published: 27/09/2016 Last modified: 27/09/2016
     Alex Hope was today (27 September 2016) sentenced to 603 days’ imprisonment for failing to pay the full value of a confiscation order made against him.

304. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

     Press Releases Published: 01/09/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

305. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

     Press Releases Published: 09/08/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

306. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

307. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Individuals with information about market abuse can visit the FCA’s market abuse webpage.

308. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

309. Global regulation in the post-crisis era

     Speeches Published: 30/06/2016 Last modified: 01/07/2016
     Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

310. Former equities trader at Schroders Investment Management sentenced for insider dealing

     Press Releases Published: 12/06/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.