Showing 451 to 460 of 776 search results for enforcement.

451. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases Published: 01/02/2017 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

452. 2017 fines

     News stories Published: 31/01/2017 Last modified: 07/03/2019
     This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

453. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

     Press Releases Published: 31/01/2017 Last modified: 31/01/2017
     The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

454. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

455. Two sentenced in insider dealing case

     Press Releases Published: 13/01/2017 Last modified: 13/01/2017
     In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also

456. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

457. Creating and sustaining cultures of compliance: insights from psychology and beyond

     Insight Published: 16/12/2016 Last modified: 17/02/2017
     The salience of the individual’s decisions is heightened. Changing communications about enforcement can also help.

458. FCA launches market study on competition in the mortgage sector

     Press Releases Published: 12/12/2016 Last modified: 10/04/2024
     The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.

459. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

     Press Releases Published: 05/12/2016 Last modified: 05/12/2016
     A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision

460. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.