Showing 361 to 370 of 370 search results for executive director of enforcement.

361. The FCA holds key conference on financial crime

     Press Releases Published: 01/07/2013 Last modified: 03/07/2013
     Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance.

362. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

     Press Releases Published: 11/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

363. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

     Press Releases Published: 24/05/2013 Last modified: 27/06/2019
     FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.

364. Financial Conduct Authority Board members confirmed

     Press Releases Published: 28/03/2013 Last modified: 31/03/2013
     HM Treasury today named the members of the Financial Conduct Authority (FCA) Board. The Board will be effective from 1 April 2013 when the FCA begins operating.

365. 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

366. RBS fined £87.5 million for significant failings in relation to LIBOR

     Press Releases Published: 06/02/2013 Last modified: 18/11/2021
     The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR).

367. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

368. 2013 fines

     News stories Published: 02/01/2013 Last modified: 26/03/2024
     Fines published during the calendar year ending December 2013.

369. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 19/12/2012 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

370. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

     Press Releases Published: 17/12/2007 Last modified: 08/11/2016
     The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in