Showing 551 to 560 of 586 search results for director of enforcement.

551. Enforcement and credible deterrence in the FCA

     Speeches Published: 18/06/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thompson Reuters Compliance & Risk Summit, London.

552. Ex-Mortgage Broker pleads guilty to 12 Criminal Offences

     Press Releases Published: 14/06/2013 Last modified: 17/09/2013
     In a case brought by the Financial Conduct Authority (FCA) Michael Joseph James Lewis, in a plea and case management hearing at Maidstone Crown Court, pleaded guilty to ten counts of breaching the general prohibition under Section 19 of the

553. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

     Press Releases Published: 11/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

554. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

555. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

     Press Releases Published: 04/06/2013 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

556. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

     Press Releases Published: 24/05/2013 Last modified: 27/06/2019
     FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.

557. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

     Press Releases Published: 23/05/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

558. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

     Press Releases Published: 18/04/2013 Last modified: 25/11/2021
     The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.

559. Financial Conduct Authority Board members confirmed

     Press Releases Published: 28/03/2013 Last modified: 31/03/2013
     HM Treasury today named the members of the Financial Conduct Authority (FCA) Board. The Board will be effective from 1 April 2013 when the FCA begins operating.

560. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

     Press Releases Published: 27/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the