Showing 171 to 180 of 299 search results for enforcement action against.

171. FCA secures eight confiscation orders totalling almost £2.2 million

     Press Releases Published: 24/05/2017 Last modified: 24/05/2017
     The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 

172. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

173. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     action to exclude themselves from the default then the default shall apply to them.This is very different from typical behavioural remedies which seek to offset unhelpful biases through improved disclosure ... But firms lobbied against the rule.It was

174. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

175. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

176. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     This means changing the private benefits and costs of particular courses of action for the agents so that they actually prefer to do ‘the right thing’.In regulation or law enforcement ... working in the relevant area are made aware of the enforcement

177. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

178. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

     Press Releases Published: 05/10/2016 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

179. Ageing population: update from the FCA

     News stories Published: 15/09/2016 Last modified: 06/03/2017
     We have published this statement to warn consumers against dealing with unauthorised firms.

180. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.