Showing 181 to 190 of 300 search results for Following enforcement.

181. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

182. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

     Press Releases Published: 13/10/2016 Last modified: 13/10/2016
     The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

183. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

     Press Releases Published: 01/09/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

184. 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.

185. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Senior management are ultimately responsible for ensuring that firms are following our rules and it is very clear that Mr Philip failed in that regard, falling well below

186. Global regulation in the post-crisis era

     Speeches Published: 30/06/2016 Last modified: 01/07/2016
     Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

187. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... Following feedback from the FCA in 2013 CT Capital undertook a substantial remediation exercise which involved developing a revised PPI complaint handling process and

188. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

     Statements Published: 26/05/2016 Last modified: 26/05/2016
     The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number

189. Over 55s at heightened risk of fraud, says FCA

     Press Releases Published: 25/05/2016 Last modified: 25/05/2016
     Mark Steward, Director of Enforcement at the FCA commented: 'You don’t need to be gullible to lose money to a scam or fraud. ... their investment following unsolicited contact.

190. FCA fines and bans financial adviser for insider dealing

     Press Releases Published: 13/05/2016 Last modified: 13/05/2016
     Following an attempt to recall the message, a further email was sent to all staff warning them not to act on the information as it was potentially inside information. ... The following day Mr Taylor contacted his broker to ask whether it was possible to