Showing 232 to 241 of 325 search results for enforcement investigations.

232. 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.

233. FCA fines Reckitt Benckiser £539,800 for listing rule failures

     Press Releases Published: 20/01/2015 Last modified: 30/08/2015
     Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:. ... Code. RB agreed to settle at an early stage of the investigation qualifying for a 30% discount, without which the FCA would have imposed a financial penalty of

234. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     And as you will hear today enforcement is part of that but it is far from the only tool we use. ... Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms.

235. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

236. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

237. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

     Press Releases Published: 20/11/2014 Last modified: 20/11/2014
     Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have taken joint enforcement action.The PRA has fined the Banks £14 million. ... The Banks agreed to settle at an early stage of the investigation and therefore

238. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

     Press Releases Published: 17/11/2014 Last modified: 17/11/2014
     Tracey McDermott, FCA director of enforcement and financial crime said:. 'Firms need to ensure that they fully understand and explain to customers the risks of investing in the products they are ... Chase de Vere agreed to settle at an early stage of the

239. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

240. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

241. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

242. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases Published: 07/11/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing