Showing 481 to 490 of 512 search results for enforcement action.

481. High Court settlement paves the way for FCA to return money to investors in illegal land bank

     Press Releases Published: 21/06/2013 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has agreed a settlement of proceedings in the High Court which will enable it to return approximately £380,000 to investors in a land bank.

482. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

483. FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain

     Press Releases Published: 19/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This

484. Ex-Mortgage Broker pleads guilty to 12 Criminal Offences

     Press Releases Published: 14/06/2013 Last modified: 17/09/2013
     In a case brought by the Financial Conduct Authority (FCA) Michael Joseph James Lewis, in a plea and case management hearing at Maidstone Crown Court, pleaded guilty to ten counts of breaching the general prohibition under Section 19 of the

485. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

     Press Releases Published: 24/05/2013 Last modified: 27/06/2019
     FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.

486. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

     Press Releases Published: 23/05/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

487. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

     Press Releases Published: 30/04/2013 Last modified: 13/05/2013
     The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687

488. FCA investigation of Royal Bank of Scotland (RBS) IT failures

     Statements Published: 09/04/2013 Last modified: 09/04/2013
     The Financial Conduct Authority has started to conduct an enforcement investigation into the IT failures at RBS which affected the bank’s customers in June and July 2012. The FCA will reach its conclusions in due course and will decide whether or

489. FCA publishes its Annual Funding Requirement for 2013/14

     Press Releases Published: 09/04/2013 Last modified: 15/04/2013
     The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has

490. FSA finalises proposals for the regulation and supervision of benchmarks

     Press Releases Published: 25/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has finalised new rules and regulations for financial benchmarks. This follows the recommendations of the Wheatley Review of the London Inter-Bank Offered Rate (LIBOR).