Showing 501 to 510 of 586 search results for director of enforcement.

501. Price: the cornerstone of markets

     Speeches Published: 03/02/2014 Last modified: 18/01/2017
     Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

502. State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings

     Press Releases Published: 31/01/2014 Last modified: 31/01/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “The findings we publish today are another example of a firm that has acted with complete disregard for the interests of its

503. Adviser banned and fined for fabricating RDR qualification certificates

     Press Releases Published: 30/01/2014 Last modified: 30/01/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA, said:.

504. FCA bans former BGC senior executive Anthony Verrier

     Press Releases Published: 29/01/2014 Last modified: 30/06/2014
     Tracey McDermott, the FCA's director of enforcement and financial crime, said:.

505. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

506. FCA Board appoints three new members to the Regulatory Decisions Committee

     News stories Published: 14/01/2014 Last modified: 29/11/2016
     Peter Craddock up to December 2013 was Group Operations Director at Perspective Financial Group Limited, a £23m turnover national finance advisory group. ... Craddock was formerly director of financial services at Skipton Building Society and previously

507. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.".

508. Tribunal bans former trader for lying to the FCA and the Tribunal

     Press Releases Published: 17/12/2013 Last modified: 19/12/2013
     Tracey McDermott, Director of Enforcement and Financial Crime, said:. “Hobbs misled the FCA during its investigation.

509. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

510. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Tracey McDermott, the FCA's director of enforcement and financial crime said:.