Showing 521 to 530 of 586 search results for director of enforcement.

521. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

522. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     The FCA has also taken enforcement action against Catalyst, and three of its current and former directors.

523. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

     Press Releases Published: 03/10/2013 Last modified: 07/02/2022
     he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

524. Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly

     Press Releases Published: 26/09/2013 Last modified: 26/09/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said of the fine:. ... Clydesdale also received a 30% discount for settling at an early stage of the enforcement process.

525. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... On 2 July 2012, the Chancellor of the Exchequer commissioned Martin Wheatley,

526. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

     Press Releases Published: 25/09/2013 Last modified: 29/11/2016
     One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action. ... Clive Adamson, director of supervision at the FCA, said:. "We expect firms

527. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

     Press Releases Published: 19/09/2013 Last modified: 19/09/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:.

528. FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance

     Press Releases Published: 17/09/2013 Last modified: 07/02/2022
     The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013

529. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

530. Competition and conduct regulation in financial services

     Speeches Published: 09/09/2013 Last modified: 10/09/2013
     Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version.