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Showing 261 to 267 of 267 search results for enforcement case against.

  1. 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

  2. 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

  3. 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

  4. 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

  5. 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

  6. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  7. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

    Press Releases Published: 17/12/2007 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in