Showing 351 to 360 of 443 search results for enforcement case.

351. 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.

352. 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

353. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases Published: 07/11/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

354. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business. ... Sesame settled the case at the first opportunity and, as a result, qualified for a 30 per cent discount.

355. 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:. ... By allowing cases to drift without agreement, YBS’s actions meant that customers in vulnerable circumstances risked falling

356. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

357. 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.

358. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

     Press Releases Published: 09/10/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

359. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

360. Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled

     Press Releases Published: 16/09/2014 Last modified: 16/09/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “People go to advisers because they want expert help on how to make the most of their money. ... He also led clients to believe that the investments were approved or endorsed by St