Showing 671 to 680 of 776 search results for enforcement.

671. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... We have repeatedly emphasised the importance of ensuring that client money

672. FCA statement regarding Co-operative Bank

     Statements Published: 22/11/2013 Last modified: 22/11/2013
     The FCA is already undertaking work to establish whether it should commence a formal enforcement investigation and expects to reach a conclusion shortly.

673. Modelling integrity through culture

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

674. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

675. FCA acts quickly to stop suspected boiler room from taking more money

     Press Releases Published: 19/11/2013 Last modified: 29/11/2016
     A suspected boiler room has had an unlimited worldwide asset freezing order placed upon it by the Financial Conduct Authority (FCA) after a High Court judge agreed that First Capital Wealth Limited (FCW) posed a serious risk to consumers. The

676. Competing on integrity

     Speeches Published: 14/11/2013 Last modified: 30/09/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.

677. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

678. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.

679. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

     Press Releases Published: 29/10/2013 Last modified: 29/10/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:.

680. Two financial advisers banned and fined after investors lose out

     Press Releases Published: 18/10/2013 Last modified: 18/10/2013
     Tracey McDermott, director of enforcement and financial crime said:. "Many consumers committed their life savings or their pensions to these property investments as they trusted Mr Bentley-Leek and Mr