Showing 501 to 510 of 512 search results for enforcement action.

501. Four building blocks of efficient capital markets

     Speeches Published: 01/02/2013 Last modified: 29/03/2013
     Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

502. Monitoring orders and transactions – our expectations of firms

     Speeches Published: 31/01/2013 Last modified: 29/03/2013
     Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

503. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

504. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

     Press Releases Published: 15/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.

505. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

     Press Releases Published: 04/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

506. Barclays fined £59.5 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 27/06/2012 Last modified: 22/03/2013
     The Financial Services Authority (FSA) has today fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever

507. International Mergers & Acquisitions Administration (www.international-maa.org) (clone of FCA authorised firm)

     Warnings Published: 12/06/2012 Last modified: 29/09/2015
     Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

508. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

509. FSA fines spread bet broker £490,000 for transaction reporting failures

     Press Releases Published: 20/01/2011 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.

510. FSA fines Société Générale £1.575 million for failures in transaction reporting

     Press Releases Published: 25/08/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit