Showing 261 to 270 of 443 search results for enforcement case.

261. The rationale for the FCA’s Mission and the context which the FCA operates in

     Speeches Published: 26/10/2016 Last modified: 10/11/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

262. FCA to consult on mortgage payment shortfall remediation guidance

     Press Releases Published: 19/10/2016 Last modified: 25/10/2016
     The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

263. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     The question is whether statistical analyses of finance and growth suggest that such behaviour is the preponderant case. ... So can regulators’ choices in the targeting of enforcement, publicising their activity and reinforcing good practice.

264. 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

265. 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.

266. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

267. London FinTech Week 2016 - innovation in RegTech

     Speeches Published: 25/07/2016 Last modified: 31/10/2016
     Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

268. 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.

269. Former equities trader at Schroders Investment Management sentenced for insider dealing

     Press Releases Published: 12/06/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.

270. FCA bans two individuals for lack of integrity

     Press Releases Published: 09/06/2016 Last modified: 09/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... In one case he gave unsuitable advice to a customer to invest in an unregulated collective investment scheme (UCIS).