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Showing 261 to 270 of 443 search results for FCA's enforcement case.

  1. The rationale for the FCA’s Mission and the context which the FCA operates in

    Speeches Published: 26/10/2016 Last modified: 10/11/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  2. FCA to consult on mortgage payment shortfall remediation guidance

    Press Releases Published: 19/10/2016 Last modified: 25/10/2016
    The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

  3. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    As is well known, the FCA is represented on the UK’s Financial Policy Committee. ... Specifically, in some cases there was absolutely no link. Economically, this seemed surprising.FCA disciplinary action should be bad for reputations and revenues, and

  4. 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

  5. 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.

  6. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

  7. London FinTech Week 2016 - innovation in RegTech

    Speeches Published: 25/07/2016 Last modified: 31/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

  8. 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.

  9. 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.

  10. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    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.