Showing 211 to 220 of 263 search results for enforcement action against firms.

211. 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.

212. 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.

213. 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 is the second inter-dealer broker firm to be fined for LIBOR misconduct.

214. 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

215. 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

216. 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. ... During QE the Bank purchased specified gilts from key firms through a competitive reverse auction.

217. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

218. FCA wins case against Capital Alternatives

     Press Releases Published: 17/02/2014 Last modified: 28/01/2015
     FCA wins case against Capital Alternatives. Press Releases First published:. 17/02/2014. ... They were promoted and operated without Financial Conduct Authority authorisation. The FCA launched legal action in July 2013 in respect of two investment schemes

219. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

     Press Releases Published: 14/02/2014 Last modified: 22/11/2021
     Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

220. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).