Showing 611 to 620 of 776 search results for enforcement.

611. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

612. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

613. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

     Press Releases Published: 09/10/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

614. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

615. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous industry-wide warnings, and exposed its clients to unnecessary ... The FCA’s enforcement

616. Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled

     Press Releases Published: 16/09/2014 Last modified: 16/09/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “People go to advisers because they want expert help on how to make the most of their money.

617. Insider dealers ordered to pay £3.2m in confiscation

     Press Releases Published: 14/09/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

618. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:.

619. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms.

620. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases Published: 27/08/2014 Last modified: 12/09/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA said:.