Showing 71 to 80 of 133 search results for enforcement action against firms and other regulated.

71. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    The difference between the level of tolerance of non-compliance in financial services regulation and in some other regulated fields is very striking.In aviation, trains, nuclear, oil exploration and so ... Second, tax authorities know on average less

72. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

73. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

    Press Releases Published: 05/10/2016 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

74. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

75. FCA wins case in the Supreme Court

    Press Releases Published: 20/04/2016 Last modified: 23/11/2021
    In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at

76. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

    Press Releases Published: 14/04/2016 Last modified: 04/11/2019
    The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

77. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 15/03/2016 Last modified: 15/03/2016
    Details of the FCA disciplinary action against Mr Boakes. ... On 1 April 2013 the FCA became responsible for the conduct supervision of all regulated financial firms and the prudential supervision of those not supervised by the Prudential Regulation

78. Katherine of Alexandria Ltd – options for investors

    News stories Published: 25/02/2016 Last modified: 26/02/2016
    pursue legal or enforcement action at the current time to close down either the company or the film investment scheme. ... Compensation Scheme if things go wrong or if they have a complaint against the firm.

79. £2.9 million to be returned to investors following FCA prosecution

    Press Releases Published: 12/02/2016 Last modified: 30/09/2016
    Confiscation orders made against James and Miranda Sanders in 2014 following their conviction for insider dealing being satisfied in full. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all

80. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.