Showing 151 to 160 of 263 search results for enforcement action against firms.

151. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 02/07/2024
     Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

152. 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

153. 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.

154. FCA bans former RBS LIBOR submitter, Paul White

     Press Releases Published: 12/04/2016 Last modified: 12/04/2016
     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 compliance failures. ... The FCA has imposed 7 fines, totalling £426 million, on firms

155. 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.

156. 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.

157. 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.

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

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     to meet our standards and, if so, whether remedial and/or disciplinary action is necessary or appropriate in relation to these firms or others across the market. ... The commencement of investigations should therefore not be taken to indicate that they

159. 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.

160. 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