Showing 691 to 700 of 776 search results for enforcement.

691. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

     Press Releases Published: 25/09/2013 Last modified: 29/11/2016
     One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action.

692. Future into focus

     Speeches Published: 19/09/2013 Last modified: 19/09/2013
     Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

693. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

     Press Releases Published: 19/09/2013 Last modified: 19/09/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:.

694. FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance

     Press Releases Published: 17/09/2013 Last modified: 07/02/2022
     The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013

695. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

696. Competition and conduct regulation in financial services

     Speeches Published: 09/09/2013 Last modified: 10/09/2013
     Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version.

697. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

     Press Releases Published: 03/09/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

698. Redress package agreed for consumers mis-sold CPP insurance products

     Press Releases Published: 22/08/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has reached an agreement with Card Protection Plan Limited (CPP) and 13 high street banks and credit card issuers that will pave the way for redress to be paid to customers who were mis-sold CPP’s Card Protection

699. FCA Board appoints new members to the Regulatory Decisions Committee

     News stories Published: 21/08/2013 Last modified: 21/08/2013
     The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community and issuing warning and decision notices for certain enforcement

700. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

     Press Releases Published: 16/08/2013 Last modified: 17/09/2013
     Other enforcement proceedings connected to these matters are on-going. Bill Sillett, head of FCA retail enforcement, said:.