Showing 341 to 350 of 512 search results for enforcement action.

341. Publication of the PRA and FCA review into the failure of HBOS

     Press Releases Published: 19/11/2015 Last modified: 27/06/2019
     The PRA and FCA are therefore also today publishing Andrew Green QC's report into the FSA’s enforcement actions following the failure of HBOS. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early

342. FCA and PRA review into the failure of HBOS Group

     News stories Published: 19/11/2015 Last modified: 04/11/2019
     The FCA and the Prudential Regulation Authority (PRA) are publishing a review into the failure of HBOS Group.

343. FCA fines and bans former Investment Analyst at Aviva Investors

     Press Releases Published: 17/11/2015 Last modified: 03/09/2016
     This abusive practice is known as “cherry picking”. Mark Steward, Director of Enforcement at the FCA said:. ... Mr Miah’s actions contributed to Aviva Investors having to pay significant compensation to a number of long-only funds.

344. Culture and governance

     Speeches Published: 11/11/2015 Last modified: 24/11/2015
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

345. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

     Press Releases Published: 10/11/2015 Last modified: 10/11/2015
     For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities.

346. Internal investigations by firms

     Speeches Published: 05/11/2015 Last modified: 05/11/2015
     Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

347. Moving towards a sustainable model of regulation

     Speeches Published: 03/11/2015 Last modified: 03/11/2015
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

348. Chairman's speech to the Trust in Banking Conference

     Speeches Published: 20/10/2015 Last modified: 22/10/2015
     Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

349. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins. ... Wilkins during the Enforcement process.

350. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).