News
Search results
Showing 361 to 370 of 443 search results for FCA's enforcement case.
-
Insider dealers ordered to pay £3.2m in confiscation
In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014. -
FCA fines RBS and NatWest for failures in mortgage advice process
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. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Our enforcement actions are an important source of information to help them do this.”. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
In this case, it is a direct intervention by the FCA in the way the firm runs its business. ... The FCA’s disciplinary action in this case reinforces the importance of collating quality MI, embedding risk-focused systems and controls and encouraging a -
Sustainability
Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... barriers to us bringing successful enforcement action.That has been amply demonstrated by our actions in cases -
FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000
Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators
FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators. ... The FCA have already required several firms to limit their business as part of the thematic review and in some cases have initiated enforcement investigation. -
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... The FCA has an overarching strategic objective of -
Regulating high frequency trading
Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Tracey McDermott, the FCA's director of enforcement and financial crime, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.