Showing 272 to 281 of 325 search results for enforcement investigations.

272. 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.

273. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

274. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Porta Verde settled at an early stage of the investigation, qualifying for a 30% discount. ... The FCA's investigations revealed examples of extremely poor conduct and mis-selling:.

275. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

276. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... SEI has cooperated with the FCA during its investigation, invested in

277. FCA statement regarding Co-operative Bank

     Statements Published: 22/11/2013 Last modified: 22/11/2013
     This investigation will take place under section 77 of the Financial Services Act 2012. ... The FCA is already undertaking work to establish whether it should commence a formal enforcement investigation and expects to reach a conclusion shortly.

278. Modelling integrity through culture

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

279. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.

280. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

     Press Releases Published: 29/10/2013 Last modified: 29/10/2013
     Rabobank cooperated with the FCA’s investigation and agreed to settle early, qualifying for a 30% discount on its fine. ... Commodity Futures Trading Commission (CFTC) and the U.S. Department of Justice (DoJ) for their co-operation in this investigation

281. Two financial advisers banned and fined after investors lose out

     Press Releases Published: 18/10/2013 Last modified: 18/10/2013
     Tracey McDermott, director of enforcement and financial crime said:. "Many consumers committed their life savings or their pensions to these property investments as they trusted Mr Bentley-Leek and Mr ... The fines would have been £750,000 and £450,000

282. Laying myths to rest

     Speeches Published: 17/10/2013 Last modified: 17/10/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.