Showing 191 to 200 of 299 search results for enforcement action against.

191. FCA Statement on fair treatment of long-standing customers in the life insurance sector

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     The FCA’s thematic review assessed the treatment of closed-book customers against four high level customer outcomes:. ... The commencement of investigations should therefore not be taken to indicate that they will necessarily result in disciplinary

192. Katherine of Alexandria Ltd – options for investors

     News stories Published: 25/02/2016 Last modified: 26/02/2016
     pursue legal or enforcement action at the current time to close down either the company or the film investment scheme. ... Compensation Scheme if things go wrong or if they have a complaint against the firm.

193. UK FinTech: Regulating for innovation

     Speeches Published: 23/02/2016 Last modified: 23/02/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

194. £2.9 million to be returned to investors following FCA prosecution

     Press Releases Published: 12/02/2016 Last modified: 30/09/2016
     Confiscation orders made against James and Miranda Sanders in 2014 following their conviction for insider dealing being satisfied in full. ... The £2,170,191.40 confiscation order made against Mr Joseph, a former futures trader, remains the largest ever

195. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

196. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     As with other enforcement investigations, we will not comment on it as it progresses. ... Your right to pursue a claim (whether via the Fund, in your personal capacity or otherwise) against Capita could be affected by the settlement of the civil legal

197. FCA and PRA investigations into HBOS senior managers

     Press Releases Published: 28/01/2016 Last modified: 28/01/2016
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

198. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     The action taken against Ms Grigg is final as she has not referred her case to the tribunal. ... The FCA has taken enforcement action in respect of related failings at the group, including against Financial Ltd and Investments Ltd and Mr Stephen Bell,

199. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

200. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ