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Showing 201 to 210 of 300 search results for Following enforcement.

  1. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  2. FCA and PRA investigations into HBOS senior managers

    Press Releases Published: 28/01/2016 Last modified: 28/01/2016
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

  3. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

    Statements Published: 24/11/2015 Last modified: 24/11/2015
    The Court of Appeal has upheld a sentence of 10 years imprisonment imposed on Phillip Harold Boakes following his conviction on 6 March 2015 on charges prosecuted by the Financial Conduct ... Mark Steward, director of enforcement and market oversight at

  4. Publication of the PRA and FCA review into the failure of HBOS

    Press Releases Published: 19/11/2015 Last modified: 27/06/2019
    The PRA and FCA are therefore also today publishing Andrew Green QC's report into the FSA’s enforcement actions following the failure of HBOS. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early

  5. FCA and PRA review into the failure of HBOS Group

    News stories Published: 19/11/2015 Last modified: 04/11/2019
    The FCA and the Prudential Regulation Authority (PRA) are publishing a review into the failure of HBOS Group.

  6. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

    Press Releases Published: 10/11/2015 Last modified: 10/11/2015
    The FCA was asked to investigate the feasibility and practicalities of developing a regulatory sandbox for financial services by Her Majesty’s Treasury, following recommendations by the Government Office for Science. ... For authorised firms, the FCA

  7. Chairman's speech to the Trust in Banking Conference

    Speeches Published: 20/10/2015 Last modified: 22/10/2015
    Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

  8. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward.

  9. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

    Press Releases Published: 18/09/2015 Last modified: 09/12/2016
    Wilkins during the Enforcement process. ... This press release supersedes the FCA’s previous press release dated 11 August 2015 following publication of the judgment.

  10. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on