Showing 351 to 360 of 512 search results for enforcement action.

351. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on

352. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

353. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

354. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

     Press Releases Published: 30/07/2015 Last modified: 30/07/2015
     This action follows the recent ban of Paul Robson, another trader at Rabobank. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

355. Accountability, from debate to reality

     Speeches Published: 14/07/2015 Last modified: 19/04/2016
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

356. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     Although far from representative of the behaviour of most market participants, these are the actions that stick in the mind of the public and which have contributed to the significant failures ... New regulators like the FCA, setting clear expectations

357. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     What purpose or goal would be served if the FCA were to take enforcement action in this case? ... Nor does it mean that it has decided what type of enforcement action to take, if any, should it turn out that there has been a breach.

358. FCA publishes final rules to make those in the banking sector more accountable

     Press Releases Published: 07/07/2015 Last modified: 19/04/2016
     In June 2013, the Parliamentary Commission for Banking Standards (PCBS) published its report "Changing Banking for Good", setting out recommendations for legislative and other action to improve professional standards and culture ... Final guidance on

359. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

     Speeches Published: 25/06/2015 Last modified: 25/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

360. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

     Press Releases Published: 23/06/2015 Last modified: 23/06/2015
     Effective financial regulation involves creating appropriate incentives to encourage individuals to take greater responsibility for their actions. ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.