Showing 351 to 360 of 452 search results for our enforcement.

351. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases Published: 07/11/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

352. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business. ... Our reforms were designed to ensure advice is based on what is best for the client not the adviser.

353. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

354. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

     Press Releases Published: 09/10/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

355. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

356. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous industry-wide warnings, and exposed its clients to unnecessary ... The FCA’s enforcement

357. Insider dealers ordered to pay £3.2m in confiscation

     Press Releases Published: 14/09/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

358. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms. ... Other firms should be in no doubt about our continued focus on this issue.".

359. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases Published: 27/08/2014 Last modified: 12/09/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA said:. ... We made our concerns clear to the firms in November 2011 but it was almost a year later before the firms started to take proper steps to put things right.

360. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Our enforcement actions are an important source of information to help them do this.”.