Showing 101 to 110 of 133 search results for enforcement action against firms and other regulated.

101. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

102. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

103. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

104. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     actions.". Cameron was a director of London-based financial advisory firm Burlington Associates Limited (Burlington) between May 2003 and January 2009. ... The FCA has previously taken action against two other individuals – Jeffrey Bennett and John

105. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms. ... We are particularly concerned because we have provided extensive guidance to firms on how to submit and check

106. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

107. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... Today’s fines are the first time that the FCA has

108. 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.

109. 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
     In this environment, broker misconduct was almost inevitable. Similar cultural failings at other firms have caused havoc in the financial services industry. ... If firms fail to heed these warnings then we will take action against them.”.

110. 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