Showing 661 to 670 of 776 search results for enforcement.

661. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

662. FCA Board appoints three new members to the Regulatory Decisions Committee

     News stories Published: 14/01/2014 Last modified: 29/11/2016
     The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices for certain enforcement

663. Statement on Co-operative Bank enforcement investigation

     Statements Published: 06/01/2014 Last modified: 06/01/2014
     Statement on Co-operative Bank enforcement investigation. Statements First published:. 06/01/2014. Last updated: 06/01/2014. ... The Financial Conduct Authority (FCA) has confirmed it will be undertaking enforcement investigations into events at the

664. 2014 fines

     News stories Published: 02/01/2014 Last modified: 31/08/2016
     This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

665. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.".

666. Tribunal bans former trader for lying to the FCA and the Tribunal

     Press Releases Published: 17/12/2013 Last modified: 19/12/2013
     Tracey McDermott, Director of Enforcement and Financial Crime, said:. “Hobbs misled the FCA during its investigation.

667. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

668. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Tracey McDermott, the FCA's director of enforcement and financial crime said:.

669. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

     Press Releases Published: 12/12/2013 Last modified: 07/02/2022
     Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

670. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.