Showing 471 to 480 of 512 search results for enforcement action.

471. FCA fines US based oil trader US $903K for market manipulation

     Press Releases Published: 22/07/2013 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

472. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

473. Ex-Mortgage Advisor sentenced to two years after FCA action

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud

474. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to

475. 100 days of the FCA

     Speeches Published: 09/07/2013 Last modified: 16/08/2013
     Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

476. FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd

     Press Releases Published: 03/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put

477. Keynote address: Financial crime in the FCA world

     Speeches Published: 01/07/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

478. The FCA holds key conference on financial crime

     Press Releases Published: 01/07/2013 Last modified: 03/07/2013
     Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance.

479. The changing face of financial crime

     Speeches Published: 30/06/2013 Last modified: 05/04/2023
     Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London.

480. Tribunal upholds FCA ban and significant fine on insurance broker

     Press Releases Published: 28/06/2013 Last modified: 17/09/2013
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for