Showing 411 to 420 of 512 search results for enforcement action.

411. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

412. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous industry-wide warnings, and exposed its clients to unnecessary ... The FCA’s enforcement

413. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... actions.". Cameron was a director of London-based financial advisory firm Burlington Associates Limited (Burlington) between May 2003 and January

414. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms. ... We are particularly concerned because we have provided extensive guidance to firms on how to submit and check

415. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases Published: 27/08/2014 Last modified: 12/09/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA said:. ... Where we raise concerns with firms we expect them to take effective action to resolve them without delay.

416. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Our enforcement actions are an important source of information to help them do this.”.

417. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases Published: 23/07/2014 Last modified: 23/07/2014
     The FCA’s disciplinary action in this case reinforces the importance of collating quality MI, embedding risk-focused systems and controls and encouraging a consumer-focused culture.'. ... its systems and controls and risk management framework in line

418. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

419. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases Published: 21/07/2014 Last modified: 21/07/2014
     The FCA has written to the CEO’s of all SIPP firms to warn them of the failings uncovered by its recent thematic review and asking them to take action to ... The FCA have already required several firms to limit their business as part of the thematic

420. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... Today’s fines are the first time that the FCA has