Showing 241 to 250 of 299 search results for enforcement action against.

241. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... The FCA has previously taken action against two other individuals – Jeffrey Bennett and John Leslie – for failing to oversee adequately the

242. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms. ... We are particularly concerned because we have provided extensive guidance to firms on how to submit and check

243. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

244. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... Today’s fines are the first time that the FCA has

245. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

246. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Plunkett’s actions boosted his own trading book by US$1.75m (excluding hedging). ... Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays.

247. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     If firms fail to heed these warnings then we will take action against them.”. ... Martins also agreed to settle an action brought by the CFTC, who imposed a financial penalty of $1.2 million.

248. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being

249. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

     Press Releases Published: 31/03/2014 Last modified: 01/04/2014
     the FCA will continue to deliver the commitment to establish a robust framework of supervision for LIBOR and take tough and meaningful action against firms and individuals who fail to follow ... continuing the FCA’s credible deterrence agenda and

250. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson's actions artificially increased the mid-market price, making his offer to sell at a marginally lower price look superficially attractive.