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Showing 141 to 150 of 263 search results for enforcement action against firms.
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Practical implications of US law on EU practice
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. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Speech: Culture in UK banking – regulatory priorities
Culture in financial services firms is critical to their ability to deliver the benefits I have just described.A firm with a good culture is likely to allocate capital well; that ... working in the relevant area are made aware of the enforcement -
FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings
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 -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
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. -
Ageing population: update from the FCA
We have published this statement to warn consumers against dealing with unauthorised firms. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
A fundamental requirement of the CASS Rules is that firms must keep client money separate from firm money in segregated client money bank accounts. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for misconduct that -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
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 -
FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code
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 ... In addition to firms’ ongoing obligation to comply with these