Showing 391 to 400 of 443 search results for FCA's enforcement case.

391. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

392. Laying myths to rest

     Speeches Published: 17/10/2013 Last modified: 17/10/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

393. FCA confirms how it will use new power to publicise warning notices

     Press Releases Published: 15/10/2013 Last modified: 15/10/2013
     The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... It will make clear to consumers, firms and investors the sort of behaviour

394. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

395. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

396. Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly

     Press Releases Published: 26/09/2013 Last modified: 26/09/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said of the fine:. ... In cases such as this the FCA could require a firm to contact customers and provide redress to those who respond and can show they lost out.

397. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     The FCA has taken action in this case in support of its objectives to ensure relevant markets function well and to promote and enhance the integrity of the UK's financial ... On 1 April 2013, the Financial Services Authority (FSA) became the Financial

398. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

     Press Releases Published: 25/09/2013 Last modified: 29/11/2016
     One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action. ... The FCA disagreed with six out of ten of their rejected cases and had

399. FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance

     Press Releases Published: 17/09/2013 Last modified: 07/02/2022
     The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013

400. Competition and conduct regulation in financial services

     Speeches Published: 09/09/2013 Last modified: 10/09/2013
     Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version.