Showing 371 to 380 of 401 search results for enforcement and market oversight.

371. Unauthorised Forex Investment Fraudster Convicted

     Press Releases Published: 09/01/2015 Last modified: 09/01/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

372. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

     Press Releases Published: 06/01/2015 Last modified: 08/11/2016
     Georgina Philippou, acting FCA director of Enforcement & Market Oversight said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

373. FCA to regulate seven additional financial benchmarks

     Press Releases Published: 22/12/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s initial regulation of LIBOR (the London

374. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

375. 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

376. 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

377. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

     Press Releases Published: 29/10/2014 Last modified: 29/10/2014
     YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

378. 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.

379. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

     Press Releases Published: 07/08/2014 Last modified: 07/08/2014
     Tracey McDermott, FCA director of enforcement and financial crime said:. "Customers are entitled to expect firms to provide them with fair and balanced information to enable them to make the right ... The FCA has an overarching strategic objective of

380. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Our enforcement actions are an important source of information to help them do this.”. ... This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote