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Showing 81 to 90 of 133 search results for enforcement action against firms and other regulated.
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FCA and PRA investigations into HBOS senior managers
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye -
Fair and effective markets review
New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures. ... It was not envisioned that this extended regime would bring any new parties within regulation itself, but rather it would -
Individual sentenced for role in operating unauthorised collective investment scheme
This sentence follows sentences of up to 8 years imprisonment handed down in earlier hearings against seven other defendants: Scott Crawley, Dale Walker, Daniel Forsyth, Brendan Daley, Aaron Petrou, Ross Peters, ... This prosecution demonstrates that we -
Eight convicted for role in unauthorised collective investment scheme
The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and those who assist them like solicitors. ... The plea was on a written basis that included the fact that he accepted his -
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
Today’s fine reflects the fact that we will not hesitate to take action against firms or individuals who fail to put the best interests of their clients first.”. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the -
FCA fines Barclays £284,432,000 for forex failings
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... On 1 April 2013 the FCA became responsible for the conduct supervision of all