Showing 461 to 470 of 776 search results for enforcement.

461. Two plead guilty to insider dealing

     Press Releases Published: 30/11/2016 Last modified: 30/11/2016
     In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017

462. Effectiveness of the AML regime in disrupting financial crime

     Speeches Published: 10/11/2016 Last modified: 06/12/2016
     Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

463. Effectiveness and proportionality: our financial crime priorities

     Speeches Published: 10/11/2016 Last modified: 05/12/2016
     Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.

464. The FCA Mission – a consultation

     Press Releases Published: 26/10/2016 Last modified: 31/10/2016
     The Financial Conduct Authority (FCA) has today launched a consultation on its Mission, which is designed to provide a guiding set of principles around the strategic choices the FCA makes. It will inform the FCA’s strategy and day-to-day work over

465. The rationale for the FCA’s Mission and the context which the FCA operates in

     Speeches Published: 26/10/2016 Last modified: 10/11/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

466. FCA to consult on mortgage payment shortfall remediation guidance

     Press Releases Published: 19/10/2016 Last modified: 25/10/2016
     The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

467. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     This means changing the private benefits and costs of particular courses of action for the agents so that they actually prefer to do ‘the right thing’.In regulation or law enforcement ... So can regulators’ choices in the targeting of enforcement,

468. FCA publishes thematic review of annuity sales practices

     Press Releases Published: 14/10/2016 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.

469. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

     Press Releases Published: 13/10/2016 Last modified: 13/10/2016
     The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

470. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering