Showing 302 to 311 of 325 search results for enforcement investigations.

302. 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.

303. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

304. Two arrested in FCA insider dealing investigation

     Press Releases Published: 02/05/2013 Last modified: 05/04/2023
     On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

305. FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls

     Press Releases Published: 24/04/2013 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious

306. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

     Press Releases Published: 18/04/2013 Last modified: 25/11/2021
     The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.

307. FCA charges eight men in relation to land banking

     Press Releases Published: 16/04/2013 Last modified: 17/11/2021
     Eight men have been charged by the FCA with conspiracy to defraud contrary to common law and criminal offences relating to the carrying out of a regulated activity without authorisation or exemption

308. FCA investigation of Royal Bank of Scotland (RBS) IT failures

     Statements Published: 09/04/2013 Last modified: 09/04/2013
     The Financial Conduct Authority has started to conduct an enforcement investigation into the IT failures at RBS which affected the bank’s customers in June and July 2012. The FCA will reach its conclusions in due course and will decide whether or

309. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

     Press Releases Published: 27/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the

310. Lamprell plc fined £2,428,300 for systems and controls failings

     Press Releases Published: 18/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

311. FSA publishes discussion paper on transparency

     Press Releases Published: 04/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published a discussion paper looking at how transparency and more effective disclosure could improve the accountability of the regulator and the financial services industry, and help consumers make more

312. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.