Showing 111 to 120 of 133 search results for enforcement action against firms and other regulated.

111. 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

112. 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. ... The investigation found this was the action of one trader on one day, and there is no evidence of collusion with traders in other banks.

113. FCA wins case against Capital Alternatives

     Press Releases Published: 17/02/2014 Last modified: 28/01/2015
     In February 2014, High Court has ruled that two investment schemes, promoted by Capital Alternatives and a number of other firms, were collective investment schemes. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the

114. 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).

115. 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

116. 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

117. 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.

118. 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.

119. 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. ... In our review, we found that some firms are doing this while it is clear

120. 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