Showing 541 to 550 of 586 search results for director of enforcement.

541. 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

542. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to

543. FSA Annual Report 2012/13

     News stories Published: 10/07/2013 Last modified: 08/11/2016
     This is the FSA's final Annual Report, covering the year leading up to its abolition in April 2013.

544. 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

545. 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.

546. 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.

547. Tribunal upholds FCA ban and significant fine on insurance broker

     Press Releases Published: 28/06/2013 Last modified: 17/09/2013
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

548. 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.

549. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

550. FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain

     Press Releases Published: 19/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This