Showing 91 to 100 of 133 search results for enforcement action against firms and other regulated.

91. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    We have taken action against Mr Allen because, as the Tribunal’s findings have made clear, he failed to demonstrate the standards of behaviour we expect. ... On 1 April 2013 the FCA became responsible for the conduct supervision of all regulated

92. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Consideration of confiscation and other financial orders will take place at a later date. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all regulated financial firms and the prudential

93. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... compromised. "This case and other recent Significant Influence Function (SIF)

94. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

95. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... And where they fall short, particularly where they fail to learn lessons from other action, they should pay the price.

96. The FCA’s new competition powers: what do they mean for the financial services industry?

    Speeches Published: 21/11/2014 Last modified: 09/11/2016
    Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

97. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    The FCA has taken this action against the Banks for failing to put in place resilient IT systems which could withstand, or minimise the risk of, IT failures. ... Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have

98. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

99. Regulating in a recovery

    Speeches Published: 13/11/2014 Last modified: 13/11/2014
    Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

100. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358