Showing 252 to 261 of 325 search results for enforcement investigations.

252. 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.

253. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Tracey McDermott, the FCA's director of enforcement and financial crime, said:. ... The investigation and outcomes in that case meant that the firm, and Plunkett, were clearly on notice of the potential for conflicts of interests around benchmarks.

254. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... Martins agreed to settle at an early stage of the investigation and

255. FCA bans partners of firm that failed to consider customer SIPP suitability

     Press Releases Published: 17/04/2014 Last modified: 20/05/2014
     s investigation, and the FSCS’s work on whether redress may be due to some or all of 1 Stop’s customers. ... Mr Rees and Mr Hughes will also contact all customers of 1 Stop who invested in SIPP’s informing them of the current investigation being

256. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

257. Santander UK fined £12.4m for widespread investment advice failings

     Press Releases Published: 26/03/2014 Last modified: 25/11/2021
     Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.

258. FCA winds up a boiler room

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA, said:. ... Until the liquidator has completed its investigation into the company’s activities, the FCA is unable to confirm whether any funds will be available to return to

259. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson agreed to settle at an early stage of the investigation, qualifying for a 30% discount.

260. Besso Limited fined for anti-bribery and corruption systems failings

     Press Releases Published: 19/03/2014 Last modified: 19/03/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Besso agreed to a settlement at an early state of the FCA investigation and therefore qualified for a 30% discount.

261. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

262. FCA confirms tough new rules for £200bn consumer credit market

     Press Releases Published: 28/02/2014 Last modified: 28/02/2014
     Dedicated supervision and enforcement teams will crack down on poor practice, money laundering and unauthorised business. ... Firms that break the rules may face detailed investigations and tough fines.