Showing 741 to 750 of 776 search results for enforcement.

741. FCA investigation of Royal Bank of Scotland (RBS) IT failures

     Statements Published: 09/04/2013 Last modified: 09/04/2013
     The Financial Conduct Authority has started to conduct an enforcement investigation into the IT failures at RBS which affected the bank’s customers in June and July 2012. The FCA will reach its conclusions in due course and will decide whether or

742. Financial Conduct Authority Board members confirmed

     Press Releases Published: 28/03/2013 Last modified: 31/03/2013
     HM Treasury today named the members of the Financial Conduct Authority (FCA) Board. The Board will be effective from 1 April 2013 when the FCA begins operating.

743. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

     Press Releases Published: 27/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the

744. FSA finalises proposals for the regulation and supervision of benchmarks

     Press Releases Published: 25/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has finalised new rules and regulations for financial benchmarks. This follows the recommendations of the Wheatley Review of the London Inter-Bank Offered Rate (LIBOR).

745. FCA business plan and risk outlook published

     Press Releases Published: 23/03/2013 Last modified: 01/05/2013
     The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013.

746. Lamprell plc fined £2,428,300 for systems and controls failings

     Press Releases Published: 18/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

747. Individual sentenced to four years for insider dealing

     Press Releases Published: 11/03/2013 Last modified: 05/04/2023
     In a prosecution brought by the Financial Services Authority (FSA) and heard at Southwark Crown Court Richard Joseph, age 43, has been found guilty of 6 counts of conspiracy to deal as an insider.

748. Equities trader sentenced for insider dealing

     Press Releases Published: 07/03/2013 Last modified: 05/04/2023
     Paul Milsom, a senior equities trader, sentenced at Southwark Crown Court to 2 years imprisonment for disclosing inside information between October 2008 and March 2010

749. FSA publishes consultation on framework for the consumer credit regime

     Press Releases Published: 06/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published its consultation on how it plans to introduce a strong and flexible regime to regulate consumer credit. The regime is tailored to address the risks that face consumers without putting undue

750. Journey towards a conduct regulator

     Speeches Published: 05/03/2013 Last modified: 18/07/2013
     Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London