Showing 371 to 380 of 443 search results for FCA's enforcement case.

371. The New Market Infrastructure

     Speeches Published: 16/05/2014 Last modified: 29/11/2016
     Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

372. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     We have also seen a number of firms adapting their business model to advise customers to take out Small Self-Administered Schemes in an attempt to avoid FCA scrutiny. ... We anticipate further firms, and their senior management, being referred to our

373. Land bank firm shut down by the FCA has appeal rejected by Court

     Press Releases Published: 14/04/2014 Last modified: 29/11/2021
     The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I.

374. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

375. Making competition king – the rise of behavioural economics at the FCA

     Speeches Published: 25/03/2014 Last modified: 25/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.

376. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

377. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Tracey McDermott, the Financial Conduct Authority's (FCA) director of enforcement said:. ... He has paid a heavy price for his actions. "Fair dealing is at the heart of market integrity.This case sends a clear message about how seriously the FCA views

378. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

379. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

     Press Releases Published: 26/02/2014 Last modified: 26/02/2014
     Once the FCA has recovered the costs related to enforcement cases, the balance is passed to HM Treasury. ... Without the discount, the total fine would have been £5,000,000. This enforcement action is unrelated the FCA’s ongoing investigation into

380. FCA wins case against Capital Alternatives

     Press Releases Published: 17/02/2014 Last modified: 28/01/2015
     FCA wins case against Capital Alternatives. Press Releases First published:. 17/02/2014. ... The defendants in the case had structured their schemes to try to avoid the need to be regulated by the FCA.