Showing 601 to 610 of 776 search results for enforcement.

601. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

     Press Releases Published: 17/11/2014 Last modified: 17/11/2014
     Tracey McDermott, FCA director of enforcement and financial crime said:. 'Firms need to ensure that they fully understand and explain to customers the risks of investing in the products they are

602. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

603. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

604. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s actually enormously important.

605. Regulating in a recovery

     Speeches Published: 13/11/2014 Last modified: 13/11/2014
     Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

606. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

607. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases Published: 07/11/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

608. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

609. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business.

610. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

     Press Releases Published: 29/10/2014 Last modified: 29/10/2014
     YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... YBS agreed, voluntarily and proactively, prior to the enforcement investigation commencing to refund all mortgage arrears fees,