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Showing 371 to 380 of 443 search results for enforcement case.
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The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being -
Land bank firm shut down by the FCA has appeal rejected by Court
The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I. -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson's conduct was a clear case of market manipulation - designed to secure the price of the relevant gilts at an abnormal or artificial level. -
Promoting competition in the financial services sector
Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Once the FCA has recovered the costs related to enforcement cases, the balance is passed to HM Treasury. ... Without the discount, the total fine would have been £5,000,000. This enforcement action is unrelated the FCA’s ongoing investigation into -
FCA wins case against Capital Alternatives
FCA wins case against Capital Alternatives. Press Releases First published:. 17/02/2014. ... The defendants in the case had structured their schemes to try to avoid the need to be regulated by the FCA.