Showing 211 to 220 of 512 search results for enforcement action.

211. FCA launch the Financial Services Regulatory Partners Phoenixing Group

     Statements Published: 03/05/2019 Last modified: 03/05/2019
     The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services.

212. Financial Conduct Authority (FCA) publishes feedback statement on Duty of Care

     Press Releases Published: 23/04/2019 Last modified: 11/04/2024
     The FCA has summarised responses to its Discussion Paper – ‘A duty of care and potential alternative approaches’ – and sets out next steps.

213. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

214. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

     Press Releases Published: 09/04/2019 Last modified: 09/04/2019
     The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

215. Partly contested cases, the pipeline and AML investigations

     Speeches Published: 04/04/2019 Last modified: 04/04/2019
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

216. Brexit and beyond

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

217. What can the consumer credit sector expect from the FCA?

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

218. FCA puts the spotlight on debt management firms

     Press Releases Published: 15/03/2019 Last modified: 15/03/2019
     The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal

219. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

     Press Releases Published: 13/03/2019 Last modified: 20/12/2019
     The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

220. Money laundering and supervising trusted professionals

     Speeches Published: 12/03/2019 Last modified: 30/08/2019
     OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards.