Showing 231 to 240 of 263 search results for enforcement action against firms.

231. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

232. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

233. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     This default declaration follows an investigation by Financial Services Compensation Scheme (FSCS) and the FCA, and means the FSCS is now able to consider claims against the firm in relation to ... The FCA has also taken enforcement action against

234. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

     Press Releases Published: 03/10/2013 Last modified: 07/02/2022
     he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

235. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

     Press Releases Published: 25/09/2013 Last modified: 29/11/2016
     One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action. ... The FCA asked each firm to provide a sample of 50 PPI complaints (40

236. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

237. Redress package agreed for consumers mis-sold CPP insurance products

     Press Releases Published: 22/08/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has reached an agreement with Card Protection Plan Limited (CPP) and 13 high street banks and credit card issuers that will pave the way for redress to be paid to customers who were mis-sold CPP’s Card Protection

238. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

     Press Releases Published: 09/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

239. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

240. Financial Conduct Authority appoints four new supervision directors

     Press Releases Published: 07/08/2013 Last modified: 09/12/2016
     The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division