Showing 511 to 520 of 776 search results for enforcement.

511. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

     Press Releases Published: 09/02/2016 Last modified: 09/02/2016
     Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in

512. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

513. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     The substantive review will begin once the current enforcement investigation has ended. ... As with other enforcement investigations, we will not comment on it as it progresses.

514. FCA and PRA investigations into HBOS senior managers

     Press Releases Published: 28/01/2016 Last modified: 28/01/2016
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

515. 2016 fines

     News stories Published: 02/01/2016 Last modified: 02/02/2017
     This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

516. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     The FCA has taken enforcement action in respect of related failings at the group, including against Financial Ltd and Investments Ltd and Mr Stephen Bell, the group’s former Compliance Director.

517. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

518. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

519. Money returned to investors with Anderson, Peacock and Pruthi

     News stories Published: 27/11/2015 Last modified: 12/04/2024
     The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi.

520. FCA fines Barclays £72 million for poor handling of financial crime risks

     Press Releases Published: 26/11/2015 Last modified: 26/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:.