Showing 371 to 380 of 512 search results for enforcement action.

371. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases Published: 23/04/2015 Last modified: 24/04/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... This case shows how seriously we view a

372. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     Georgina Philippou, FCA acting director of enforcement and market oversight, said:. ... Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and

373. Tribunal directs Financial Conduct Authority to ban former insurance broker

     Press Releases Published: 16/04/2015 Last modified: 16/04/2015
     trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... We have taken action against Mr Allen because, as the Tribunal’s findings have made clear, he failed to demonstrate the standards of

374. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Customers do not need to take any action – Clydesdale will be contacting all affected customers in due course.

375. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside

376. Ryan Willmott sentenced to 10 months imprisonment for insider dealing

     Press Releases Published: 27/03/2015 Last modified: 05/04/2023
     Ryan Willmott, the former group reporting and financial planning manager for Logica PLC, who pleaded guilty to three counts of insider dealing on 26 February 2015, has today been sentenced to 10 months imprisonment. He was also ordered to pay

377. FCA bans and fines two individuals for pension advice failings

     Press Releases Published: 20/03/2015 Last modified: 24/03/2020
     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

378. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

379. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

     Press Releases Published: 16/03/2015 Last modified: 16/03/2015
     fitness and propriety (by firms as well as by regulators) and strengthened powers of approval and enforcement for the regulators. ... The FCA expects all firms who deal with retail consumers to read the report and take action to ensure they are managing

380. Former chief executive of stockbroker firm fined £450,000 and banned

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.