Showing 451 to 460 of 512 search results for enforcement action.

451. Statement on foreign exchange market investigation

     Statements Published: 16/10/2013 Last modified: 16/10/2013
     Our investigations are at an early stage and it will be some time before we conclude whether there has been any misconduct which will lead to enforcement action.

452. FCA confirms how it will use new power to publicise warning notices

     Press Releases Published: 15/10/2013 Last modified: 15/10/2013
     The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... More information about what the FCA has published regarding enforcement

453. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

454. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

455. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     Investors do not need to take any action in the meantime - more information is available from the FSCS website. ... The FCA has also taken enforcement action against Catalyst, and three of its current and former directors.

456. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

     Press Releases Published: 03/10/2013 Last modified: 07/02/2022
     he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

457. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... IEL also agreed to settle an action brought by the CFTC, who imposed a

458. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

     Press Releases Published: 25/09/2013 Last modified: 29/11/2016
     One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action.

459. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

     Press Releases Published: 19/09/2013 Last modified: 19/09/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:. ... Commodity Futures Trading Commission for their co-operation. JPMorgan also agreed to settle actions brought by the U.S.

460. FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance

     Press Releases Published: 17/09/2013 Last modified: 07/02/2022
     The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013