Showing 571 to 580 of 586 search results for director of enforcement.

571. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

572. Four building blocks of efficient capital markets

     Speeches Published: 01/02/2013 Last modified: 29/03/2013
     Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

573. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

574. FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling

     Press Releases Published: 16/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling.

575. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

     Press Releases Published: 15/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.

576. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

     Press Releases Published: 04/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

577. 2013 fines

     News stories Published: 02/01/2013 Last modified: 26/03/2024
     Fines published during the calendar year ending December 2013.

578. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 19/12/2012 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

579. Barclays fined £59.5 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 27/06/2012 Last modified: 22/03/2013
     The Financial Services Authority (FSA) has today fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever

580. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.