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Showing 262 to 271 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. -
FCA bans former CIB Partners Limited CEO Arnold Eber
Keydata was placed into administration by the Court on 8 June 2009 and Keydata, senior management at Keydata remain under investigation by the FCA. ... We cannot provide further information about these investigations because of the confidentiality -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
In July 2010, the US authorities launched an investigation into FXCM’s business in the US. ... Without the discount, the total fine would have been £5,000,000. This enforcement action is unrelated the FCA’s ongoing investigation into trading on the -
Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution
Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation -
HomeServe fined £30 million for widespread failings
The FCA has an objective to protect consumers and the changes made by HomeServe since the investigation will help ensure their customers are treated better in future. ... This customer contact exercise is on-going. HomeServe agreed to settle at an early -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
Tracey McDermott, director of enforcement and financial crime, said:. “The findings we publish today are another example of a firm that has acted with complete disregard for the interests of its ... State Street UK agreed to settle at an early stage of -
Adviser banned and fined for fabricating RDR qualification certificates
Following an investigation by the CII, Mr King was expelled from membership of the CII on 18 October 2013. ... The CII withheld publication of this matter so as not to prejudice the FCA’s investigation. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
Statement on Co-operative Bank enforcement investigation
Statement on Co-operative Bank enforcement investigation. Statements First published:. 06/01/2014. Last updated: 06/01/2014. ... The Financial Conduct Authority (FCA) has confirmed it will be undertaking enforcement investigations into events at the -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... The fine of £1,876,000 follows JLTSL’s agreement to settle at an early stage of the investigation. -
Tribunal bans former trader for lying to the FCA and the Tribunal
The Tribunal found that, in putting forward a false defence to the FCA during the course of its investigation, and in maintaining that defence in evidence before the Tribunal, he had ... Tracey McDermott, Director of Enforcement and Financial Crime, said: