Showing 331 to 340 of 512 search results for enforcement action.

331. UK FinTech: Regulating for innovation

     Speeches Published: 23/02/2016 Last modified: 23/02/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

332. £2.9 million to be returned to investors following FCA prosecution

     Press Releases Published: 12/02/2016 Last modified: 30/09/2016
     Mark Steward, the FCA’s Director of Enforcement and Market Oversight said:. ... This is the largest sum returned to victims of crime following an FSA/FCA prosecution and is the result of quick action in the first instance to restrain the proceeds of

333. 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 ... change in the nature or seriousness of the action

334. 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.

335. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     This investigation will continue independently of the settlement of the civil legal action between the liquidators of the Fund and Capita. ... As with other enforcement investigations, we will not comment on it as it progresses.

336. 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.

337. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     The action taken against Ms Grigg is final as she has not referred her case to the tribunal. ... 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,

338. 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

339. 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

340. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

     Statements Published: 24/11/2015 Last modified: 24/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... The Final Notice for Phillip Boakes. The FCA’s Press Release in relation to the prosecution action dated 6 March 2015.