Showing 181 to 190 of 299 search results for enforcement action against.

181. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for misconduct that included a failure to adequately protect client money.

182. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     We have taken action against firms on numerous occasions and there’s no excuse for firms continuing to get it wrong. ... We will continue to monitor how firms are dealing with complaints and will not hesitate to take action where we see firms not

183. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

     Statements Published: 26/05/2016 Last modified: 26/05/2016
     the rules against market manipulation and abuse. ... The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number

184. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

185. FCA wins case in the Supreme Court

     Press Releases Published: 20/04/2016 Last modified: 23/11/2021
     In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at

186. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

     Press Releases Published: 14/04/2016 Last modified: 04/11/2019
     The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

187. FCA bans former RBS LIBOR submitter, Paul White

     Press Releases Published: 12/04/2016 Last modified: 12/04/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... This is the FCA’s fourth public action against a trader for manipulating LIBOR submissions, and follows fines and bans in early 2015 for senior executives for LIBOR

188. The FCA’s Competition Powers

     Speeches Published: 23/03/2016 Last modified: 09/11/2016
     Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

189. Capital Alternatives: information for investors

     News stories Published: 18/03/2016 Last modified: 13/07/2021
     We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

190. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 15/03/2016 Last modified: 15/03/2016
     Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:. ... Details of the FCA disciplinary action against Mr Boakes.