Showing 361 to 370 of 452 search results for our enforcement.

361. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases Published: 23/07/2014 Last modified: 23/07/2014
     The Group was referred to the FCA’s Enforcement Division following a risk assessment in May 2012 and the FCA’s predecessor the Financial Services Authority (FSA) thematic review of firms’ ... The principal takes full responsibility for ensuring

362. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     But that is not, of course, the only thing my enforcement teams have been up to.We imposed £425m of penalties on firms in our first year – on 26 firms and ... barriers to us bringing successful enforcement action.That has been amply demonstrated by

363. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases Published: 21/07/2014 Last modified: 21/07/2014
     It is disappointing that our review saw failings in the advice given, particularly when incentives have been provided to consumers to transfer. ... The FCA have already required several firms to limit their business as part of the thematic review and in

364. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

365. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

366. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 28/06/2024
     Speech by Clive Adamson, director of supervision, at the General Insurance conference, London.

367. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays. ... Firms should be in no doubt that the spotlight will remain on wholesale conduct and we will hold them to account if they fail to meet our standards

368. The New Market Infrastructure

     Speeches Published: 16/05/2014 Last modified: 29/11/2016
     Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

369. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

370. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being