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Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Tracey McDermott, the FCA's director of enforcement and financial crime, said:. ... Plunkett was a Director on the Precious Metals Desk at Barclays and was responsible for pricing products linked to the price of precious metals and managing Barclays' -
The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... £105 million. On 2 July 2012, the Chancellor of the Exchequer -
FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry. -
FCA bans partners of firm that failed to consider customer SIPP suitability
Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. ... The FCA also found that the partners failed adequately to disclose a conflict of interest, as they were directors and shareholders of EGI, a firm that referred almost a -
Land bank firm shut down by the FCA has appeal rejected by Court
The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I. -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
Clive Adamson, director of supervision at the FCA said:. 'RDR has involved a major change to the investment advice landscape. ... If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further -
Santander UK fined £12.4m for widespread investment advice failings
Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.