Showing 431 to 440 of 443 search results for enforcement case.

431. FSA secures Supreme Court win in satellite warranty case

     Press Releases Published: 13/02/2013 Last modified: 22/11/2021
     The Supreme Court unanimously dismissed appeals by Digital Satellite Warranty Cover and Bernard Freeman and Michael Sullivan, trading as Satellite Services.

432. FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies

     Press Releases Published: 13/02/2013 Last modified: 23/11/2021
     The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies.

433. FSA secures High Court victory against illegal land banking firm, Asset Land

     Press Releases Published: 11/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by

434. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

435. Four building blocks of efficient capital markets

     Speeches Published: 01/02/2013 Last modified: 29/03/2013
     Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

436. Monitoring orders and transactions – our expectations of firms

     Speeches Published: 31/01/2013 Last modified: 29/03/2013
     Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

437. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

438. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

     Press Releases Published: 04/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

439. FSA fines Société Générale £1.575 million for failures in transaction reporting

     Press Releases Published: 25/08/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit

440. FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders' personal details

     Press Releases Published: 24/08/2010 Last modified: 29/11/2016
     The Financial Services Authority (FSA) has fined the UK branch of Zurich Insurance Plc (Zurich UK) £2,275,000 for failing to have adequate systems and controls in place to prevent the loss of customers’ confidential information. The fine is the