Showing 192 to 201 of 325 search results for enforcement investigations.

192. Should you invest?

     Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

193. The FCA’s Competition Powers

     Speeches Published: 23/03/2016 Last modified: 09/11/2016
     Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

194. FCA Statement on fair treatment of long-standing customers in the life insurance sector

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     The FCA has concluded that the best way to explore these issues further is for that work to be undertaken by our enforcement division using our investigation powers under FSMA. ... The FCA has commenced investigations into the behaviour of the six firms

195. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

196. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     The substantive review will begin once the current enforcement investigation has ended. ... As with other enforcement investigations, we will not comment on it as it progresses.

197. FCA and PRA investigations into HBOS senior managers

     Press Releases Published: 28/01/2016 Last modified: 28/01/2016
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

198. FCA fines Barclays £72 million for poor handling of financial crime risks

     Press Releases Published: 26/11/2015 Last modified: 26/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... Barclays agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 30% (stage 1) discount.This discount does not apply to the £52.3

199. Publication of the PRA and FCA review into the failure of HBOS

     Press Releases Published: 19/11/2015 Last modified: 27/06/2019
     In his report, Andrew Green QC recommends that the PRA and FCA should now consider whether any former senior managers of HBOS should be the subject of an enforcement investigation with ... The PRA and FCA will conclude a review as to whether further

200. FCA fines and bans former Investment Analyst at Aviva Investors

     Press Releases Published: 17/11/2015 Last modified: 03/09/2016
     This abusive practice is known as “cherry picking”. Mark Steward, Director of Enforcement at the FCA said:. ... Mr Miah agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 30% (Stage 1) discount.

201. Internal investigations by firms

     Speeches Published: 05/11/2015 Last modified: 05/11/2015
     Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

202. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward.