Showing 381 to 390 of 443 search results for enforcement case.

381. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

     Press Releases Published: 14/02/2014 Last modified: 22/11/2021
     Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

382. HomeServe fined £30 million for widespread failings

     Press Releases Published: 13/02/2014 Last modified: 13/02/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said. ... This is a serious case, one that has warranted our largest retail conduct fine and generated a sizeable bill for consumer redress.Homeserve is another example of a firm

383. Adviser banned and fined for fabricating RDR qualification certificates

     Press Releases Published: 30/01/2014 Last modified: 30/01/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA, said:. ... Mr King agreed to settle at an early stage of the FCA’s case and so qualified for a 30% discount.

384. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

385. FCA Board appoints three new members to the Regulatory Decisions Committee

     News stories Published: 14/01/2014 Last modified: 29/11/2016
     The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices for certain enforcement ... cases on behalf of the FCA

386. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... Overseas Introducer means an overseas third party that helps a frim (in this case JLTSL) to win and retain

387. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde),

388. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

389. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

390. Competing on integrity

     Speeches Published: 14/11/2013 Last modified: 30/09/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.