News
Search results
Showing 421 to 430 of 512 search results for enforcement action.
-
The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Plunkett’s actions boosted his own trading book by US$1.75m (excluding hedging). ... Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
If firms fail to heed these warnings then we will take action against them.”. ... Martins also agreed to settle an action brought by the CFTC, who imposed a financial penalty of $1.2 million. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further regulatory action, including referrals to enforcement. ... However, it is likely two firms with egregious failings uncovered in the second -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
the FCA will continue to deliver the commitment to establish a robust framework of supervision for LIBOR and take tough and meaningful action against firms and individuals who fail to follow ... continuing the FCA’s credible deterrence agenda and -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson's actions artificially increased the mid-market price, making his offer to sell at a marginally lower price look superficially attractive. -
Besso Limited fined for anti-bribery and corruption systems failings
Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Where we find firms failing to do so, we will take action.". -
Promoting competition in the financial services sector
Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.