Showing 361 to 370 of 443 search results for enforcement case.

361. Insider dealers ordered to pay £3.2m in confiscation

     Press Releases Published: 14/09/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

362. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases Published: 27/08/2014 Last modified: 12/09/2014
     Two reviews of sales from 2012 found that in over half the cases the suitability of the advice was not clear from the file or call recording. ... This simply failed to happen in this case.”. The FSA initially drew the firms’ attention to issues in

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

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     fees is misconduct of a type that has not been seen in previous LIBOR cases. ... Our enforcement actions are an important source of information to help them do this.”.

364. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases Published: 23/07/2014 Last modified: 23/07/2014
     In this case, it is a direct intervention by the FCA in the way the firm runs its business. ... Financial Group agreed to settle the case at an early stage of the investigation and therefore qualified for a 30% discount.

365. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     barriers to us bringing successful enforcement action.That has been amply demonstrated by our actions in cases such as LIBOR and the JP Morgan London Whale case. ... Unfortunately, that is not always the case. We take that very seriously which is why you

366. FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000

     Press Releases Published: 22/07/2014 Last modified: 22/07/2014
     Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:. ... This has been a long and complex case but the Tribunal’s substantial judgment is a landmark.

367. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases Published: 21/07/2014 Last modified: 21/07/2014
     limited consideration of the tax and in a small number of cases ‘means tested benefit’ implications of accepting the offer. ... The FCA have already required several firms to limit their business as part of the thematic review and in some cases have

368. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... Some of the issues raised in this case will be

369. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

370. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Tracey McDermott, the FCA's director of enforcement and financial crime, said:. ... The investigation and outcomes in that case meant that the firm, and Plunkett, were clearly on notice of the potential for conflicts of interests around benchmarks.