Showing 282 to 291 of 325 search results for enforcement investigations.

282. 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.

283. Statement on foreign exchange market investigation

     Statements Published: 16/10/2013 Last modified: 16/10/2013
     Statement on foreign exchange market investigation. Statements First published:. 16/10/2013. Last updated: 16/10/2013. ... Our investigations are at an early stage and it will be some time before we conclude whether there has been any misconduct which

284. FCA confirms how it will use new power to publicise warning notices

     Press Releases Published: 15/10/2013 Last modified: 15/10/2013
     Director of enforcement, Tracey McDermott said:. "We listened carefully to views from inside and outside the industry. ... Before making its final decision, it will consult the person under investigation and will take into account any evidence that

285. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

286. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     This default declaration follows an investigation by Financial Services Compensation Scheme (FSCS) and the FCA, and means the FSCS is now able to consider claims against the firm in relation to ... The FCA has also taken enforcement action against

287. The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014

     Press Releases Published: 03/10/2013 Last modified: 29/11/2016
     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.

288. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... This is our fourth penalty in relation to LIBOR and our investigations continue.

289. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

     Press Releases Published: 19/09/2013 Last modified: 19/09/2013
     JPMorgan agreed to settle at an early stage of the FCA’s investigation. ... Without the discount the fine would have been £196,586,000. This was a significant cross-border investigation, and the FCA would like to thank the U.S.

290. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

291. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

     Press Releases Published: 03/09/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

292. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

     Press Releases Published: 16/08/2013 Last modified: 17/09/2013
     After conducting full investigations, the FCA found that Leslie and Bennett failed to exercise due skill, care and diligence in their positions. ... Other enforcement proceedings connected to these matters are on-going. Bill Sillett, head of FCA retail