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Showing 212 to 221 of 325 search results for enforcement investigations.
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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. -
Eight convicted for role in unauthorised collective investment scheme
Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA was assisted in the investigation and prosecution by a number of other law enforcement and government agencies, including the -
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Overview of the FCA prudential approach
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
During its investigation, the FCA found that Mr Reynolds:. recklessly recommended high risk investment products to eight retail clients, when he was aware that he could not justify their suitability;. ... Georgina Philippou, acting director of -
FCA fines Barclays £284,432,000 for forex failings
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. -
Moorhouse fined for failures in relation to its telephone sales
SMEs. Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Moorhouse agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 30% (stage 1) discount. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
The fine is so large because Deutsche Bank also misled the regulator, which could have hampered its investigation. ... Deutsche Bank settled at an early stage of the investigation, qualifying for a 30% discount on its fine. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... MLI agreed to settle at an early -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... The Firms agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 30% (stage 1) discount. -
Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Clydesdale agreed to settle at an early stage of the FCA’s investigation and therefore qualified for at 30% stage 1 discount.Were it not for this the FCA