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Showing 381 to 390 of 443 search results for FCA's enforcement case.

  1. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

    Press Releases Published: 14/02/2014 Last modified: 22/11/2021
    Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

  2. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    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.

  3. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    Tracey McDermott, director of enforcement and financial crime at the FCA, said:. ... Mr King agreed to settle at an early stage of the FCA’s case and so qualified for a 30% discount.

  4. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

    Press Releases Published: 23/01/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

  5. FCA Board appoints three new members to the Regulatory Decisions Committee

    News stories Published: 14/01/2014 Last modified: 29/11/2016
    cases on behalf of the FCA. ... The RDC is set up by the FCA, with members drawn from across a spectrum of business, consumer and industry experience.

  6. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    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.

  7. 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:. ... Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde),

  8. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

  9. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Competing on integrity

    Speeches Published: 14/11/2013 Last modified: 30/09/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.