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Showing 191 to 200 of 267 search results for enforcement case against.

  1. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

    Press Releases Published: 20/05/2015 Last modified: 22/05/2015
    In some cases, Mr Reynolds’ clients were unaware that they had invested in unregulated investments and were not told of the associated risks. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

  2. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

  3. Pardip Saini Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 28/04/2015 Last modified: 23/11/2021
    Today, Pardip Saini was sentenced to 528 days imprisonment for failing to pay a Confiscation Order made against him.

  4. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... This case shows how seriously we view a

  5. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... FCA as grounds to prohibit him, in place of the FCA’s case concerning insurance fees.

  6. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  7. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... Mr Bell agreed to settle the case at an early stage of the investigation and therefore qualified for a 30% discount.

  9. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    Nor room to assess firms against principles. Whereas the FCA has much greater flexibility of operation and policy. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching the cap.

  10. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Yet, despite this, as our most recent thematic review in this area shows, alongside a number of enforcement cases here and overseas, firms are still getting this wrong when it comes ... sensibly. It will be the case that some firms, having considered the