Showing 221 to 230 of 263 search results for enforcement action against firms.

221. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... JLTSL failed to manage the risks created by overseas payments, so the FCA has taken action against JLTSL for

222. Tribunal bans former trader for lying to the FCA and the Tribunal

     Press Releases Published: 17/12/2013 Last modified: 19/12/2013
     Given this finding the Tribunal allowed Hobbs’ reference and directed the FCA to take no action against him. ... Tracey McDermott, Director of Enforcement and Financial Crime, said:. “Hobbs misled the FCA during its investigation.

223. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

224. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Firms should be in no doubt that we will take action when they - or their appointed representatives - fail to treat their customers fairly.". ... Porta Verde was responsible for its ARs' conduct, so the FCA has taken action against Porta Verde for

225. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

     Press Releases Published: 12/12/2013 Last modified: 07/02/2022
     Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

226. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

227. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     We have repeatedly emphasised the importance of ensuring that client money is adequately protected and we have taken a number of enforcement actions against firms of all sizes for breaches of ... We will continue to take action to ensure that procedures

228. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

229. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

230. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.