Showing 211 to 220 of 299 search results for enforcement action against.

211. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

212. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

     Press Releases Published: 20/05/2015 Last modified: 22/05/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Today’s fine reflects the fact that we will not hesitate to take action against firms or individuals who fail to put the best interests of their clients first.

213. FCA fines Barclays £284,432,000 for forex failings

     Press Releases Published: 19/05/2015 Last modified: 17/11/2021
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

214. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases Published: 23/04/2015 Last modified: 24/04/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... This case shows how seriously we view a

215. Tribunal directs Financial Conduct Authority to ban former insurance broker

     Press Releases Published: 16/04/2015 Last modified: 16/04/2015
     trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... We have taken action against Mr Allen because, as the Tribunal’s findings have made clear, he failed to demonstrate the standards of

216. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside

217. FCA bans and fines two individuals for pension advice failings

     Press Releases Published: 20/03/2015 Last modified: 24/03/2020
     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

218. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

219. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... Georgina Philippou, the FCA’s acting director of

220. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching