Showing 461 to 470 of 586 search results for director of enforcement.

461. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

462. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business.

463. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

     Press Releases Published: 29/10/2014 Last modified: 29/10/2014
     YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... YBS agreed, voluntarily and proactively, prior to the enforcement investigation commencing to refund all mortgage arrears fees,

464. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

465. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

466. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

     Press Releases Published: 09/10/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

467. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous industry-wide warnings, and exposed its clients to unnecessary ... The FCA’s enforcement

468. Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled

     Press Releases Published: 16/09/2014 Last modified: 16/09/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “People go to advisers because they want expert help on how to make the most of their money. ... Insolvency Service press release: 13 year ban for London director and financial

469. Insider dealers ordered to pay £3.2m in confiscation

     Press Releases Published: 14/09/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

470. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. ... Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority,