Showing 731 to 740 of 776 search results for enforcement.

731. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

     Press Releases Published: 24/05/2013 Last modified: 27/06/2019
     FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.

732. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

     Press Releases Published: 23/05/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

733. Two arrested in FCA insider dealing investigation

     Press Releases Published: 02/05/2013 Last modified: 05/04/2023
     On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

734. Former Mortgage Broker Committed to Crown Court for Conducting Unauthorised Business

     Press Releases Published: 02/05/2013 Last modified: 13/05/2013
     On Monday 29 April 2013, Michael Joseph James Lewis of 3 Sedley Close, Rainham, Gillingham, appeared at Medway Magistrates Court in relation to criminal offences brought against him by the Financial Conduct Authority (FCA).

735. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

     Press Releases Published: 30/04/2013 Last modified: 13/05/2013
     The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687

736. FCA charges two in relation to an unauthorised investment scheme

     Press Releases Published: 29/04/2013 Last modified: 15/05/2013
     The Financial Conduct Authority (FCA) has charged Alex Hope of Docklands, London and Raj Von Badlo of Bourne End, Buckinghamshire with a total of ten offences relating to an unauthorised investment scheme they promoted and operated. The scheme

737. FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls

     Press Releases Published: 24/04/2013 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious

738. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

     Press Releases Published: 18/04/2013 Last modified: 25/11/2021
     The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.

739. FCA charges eight men in relation to land banking

     Press Releases Published: 16/04/2013 Last modified: 17/11/2021
     Eight men have been charged by the FCA with conspiracy to defraud contrary to common law and criminal offences relating to the carrying out of a regulated activity without authorisation or exemption

740. FCA publishes its Annual Funding Requirement for 2013/14

     Press Releases Published: 09/04/2013 Last modified: 15/04/2013
     The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has