Showing 281 to 290 of 300 search results for Following enforcement.

281. FCA v former iSOFT directors

     Press Releases Published: 22/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

282. FCA bans and fines former insurance broker £140,000

     Press Releases Published: 19/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

283. Ex-Mortgage Advisor sentenced to two years after FCA action

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud

284. FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd

     Press Releases Published: 03/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put

285. The FCA holds key conference on financial crime

     Press Releases Published: 01/07/2013 Last modified: 03/07/2013
     Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance.

286. Keynote address: Financial crime in the FCA world

     Speeches Published: 01/07/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

287. High Court settlement paves the way for FCA to return money to investors in illegal land bank

     Press Releases Published: 21/06/2013 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has agreed a settlement of proceedings in the High Court which will enable it to return approximately £380,000 to investors in a land bank.

288. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

289. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

     Press Releases Published: 04/06/2013 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

290. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

     Press Releases Published: 18/04/2013 Last modified: 25/11/2021
     The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.