Showing 561 to 570 of 586 search results for director of enforcement.

561. Lamprell plc fined £2,428,300 for systems and controls failings

     Press Releases Published: 18/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

562. Individual sentenced to four years for insider dealing

     Press Releases Published: 11/03/2013 Last modified: 05/04/2023
     In a prosecution brought by the Financial Services Authority (FSA) and heard at Southwark Crown Court Richard Joseph, age 43, has been found guilty of 6 counts of conspiracy to deal as an insider.

563. Equities trader sentenced for insider dealing

     Press Releases Published: 07/03/2013 Last modified: 05/04/2023
     Paul Milsom, a senior equities trader, sentenced at Southwark Crown Court to 2 years imprisonment for disclosing inside information between October 2008 and March 2010

564. Journey towards a conduct regulator

     Speeches Published: 05/03/2013 Last modified: 18/07/2013
     Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London

565. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

566. FSA secures Supreme Court win in satellite warranty case

     Press Releases Published: 13/02/2013 Last modified: 22/11/2021
     The Supreme Court unanimously dismissed appeals by Digital Satellite Warranty Cover and Bernard Freeman and Michael Sullivan, trading as Satellite Services.

567. FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies

     Press Releases Published: 13/02/2013 Last modified: 23/11/2021
     The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies.

568. UBS fined £9.45m for failings in its sale of an AIG fund

     Press Releases Published: 12/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

569. FSA secures High Court victory against illegal land banking firm, Asset Land

     Press Releases Published: 11/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by

570. RBS fined £87.5 million for significant failings in relation to LIBOR

     Press Releases Published: 06/02/2013 Last modified: 18/11/2021
     The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR).