Showing 311 to 320 of 512 search results for enforcement action.

311. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     of £259 to the individuals who suffered financial losses as a result of his actions. ... Mark Steward, Director of Enforcement and Market Oversight at the FCA said:.

312. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for misconduct that included a failure to adequately protect client money.

313. Global regulation in the post-crisis era

     Speeches Published: 30/06/2016 Last modified: 01/07/2016
     Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

314. Speech: Regulators should heed lessons from mishandling of Hillsborough process

     Insight Published: 07/06/2016 Last modified: 17/02/2017
     Speech by: Tracey McDermott, Acting Chief Executive, FCA. Location: Enforcement Conference, Wilton Park, 5 May 2016. ... These are sobering events and you might ask what all of that has got to do with enforcement and prosecution of financial services

315. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     We have taken action against firms on numerous occasions and there’s no excuse for firms continuing to get it wrong. ... We will continue to monitor how firms are dealing with complaints and will not hesitate to take action where we see firms not

316. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

     Statements Published: 26/05/2016 Last modified: 26/05/2016
     The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number

317. FCA Research into the issue of de-risking

     News stories Published: 24/05/2016 Last modified: 24/05/2016
     The work not only continues, but has been reinforced by the Government’s recent action plan. ... Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by

318. Financial Conduct Authority’s regulatory sandbox opens to applications

     Press Releases Published: 09/05/2016 Last modified: 09/05/2016
     do not easily fit into the existing regulatory framework and in some cases waivers or no enforcement action letters.

319. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

320. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     We provided a witness statement for the prosecution which set out the actions that we took after being made aware of allegations that Mr Hall had acted inappropriately:. ... Where we become aware of potential criminal activity in markets that we regulate,