Showing 401 to 410 of 512 search results for enforcement action.

401. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

     Press Releases Published: 20/11/2014 Last modified: 20/11/2014
     Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have taken joint enforcement action.The PRA has fined the Banks £14 million. ... The FCA would like to acknowledge the cross-jurisdictional co-operation it received

402. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

403. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

404. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s actually enormously important. ... It is, frankly, impossible to guarantee success at all times. But behavioural economics,

405. Regulating in a recovery

     Speeches Published: 13/11/2014 Last modified: 13/11/2014
     Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

406. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

407. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

408. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

     Press Releases Published: 29/10/2014 Last modified: 29/10/2014
     YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... By allowing cases to drift without agreement, YBS’s actions meant that customers in vulnerable circumstances risked falling

409. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

410. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.