Showing 441 to 450 of 512 search results for enforcement action.

441. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

442. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Firms should be in no doubt that we will take action when they - or their appointed representatives - fail to treat their customers fairly.". ... Porta Verde failed to take the necessary action to correct the problem, or ensure its ARs communicated with

443. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

     Press Releases Published: 12/12/2013 Last modified: 07/02/2022
     Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

444. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

445. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     We have repeatedly emphasised the importance of ensuring that client money is adequately protected and we have taken a number of enforcement actions against firms of all sizes for breaches of ... We will continue to take action to ensure that procedures

446. FCA statement regarding Co-operative Bank

     Statements Published: 22/11/2013 Last modified: 22/11/2013
     The Financial Conduct Authority (FCA) welcomes HM Treasury's announcement that an investigation will take place into the affairs of the Co-operative Bank and the actions of all relevant authorities. ... The FCA is already undertaking work to establish

447. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

448. FCA acts quickly to stop suspected boiler room from taking more money

     Press Releases Published: 19/11/2013 Last modified: 29/11/2016
     A suspected boiler room has had an unlimited worldwide asset freezing order placed upon it by the Financial Conduct Authority (FCA) after a High Court judge agreed that First Capital Wealth Limited (FCW) posed a serious risk to consumers. The

449. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

450. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.