News
Search results
Showing 231 to 240 of 267 search results for enforcement case against.
-
FCA wins case against Capital Alternatives
FCA wins case against Capital Alternatives. Press Releases First published:. 17/02/2014. ... FCA wins case against Capital Alternatives. -
Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution
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 -
Adviser banned and fined for fabricating RDR qualification certificates
The FCA has made no findings against Mr King’s former principal firm. ... Mr King agreed to settle at an early stage of the FCA’s case and so qualified for a 30% discount. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
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). -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
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 -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde), which is directly authorised by the FCA ... Porta Verde was responsible for its ARs' -
FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
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. -
Evolving the FCA's approach to markets regulation
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. -
Competing on integrity
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. -
Improving the consumer experience
Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.