Showing 391 to 400 of 452 search results for our enforcement.

391. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

     Press Releases Published: 29/10/2013 Last modified: 29/10/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:. ... 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.”.

392. Two financial advisers banned and fined after investors lose out

     Press Releases Published: 18/10/2013 Last modified: 18/10/2013
     Tracey McDermott, director of enforcement and financial crime said:. "Many consumers committed their life savings or their pensions to these property investments as they trusted Mr Bentley-Leek and Mr ... Bentley-Leek and Dervish fell far short of our

393. Laying myths to rest

     Speeches Published: 17/10/2013 Last modified: 17/10/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

394. Statement on foreign exchange market investigation

     Statements Published: 16/10/2013 Last modified: 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 will lead to enforcement action. ... We will not comment further on our investigations. radios. Yes. No.

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

     Press Releases Published: 15/10/2013 Last modified: 15/10/2013
     The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Director of enforcement, Tracey McDermott said:. "We listened carefully to

396. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

397. 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.

398. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     Our consumer pages have more information for ARM investors. ... The FCA has also taken enforcement action against Catalyst, and three of its current and former directors.

399. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

     Press Releases Published: 03/10/2013 Last modified: 07/02/2022
     he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

400. 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
     Our aim is to create a regime that protects consumers and allows businesses to operate. ... FCA paper on key risks in the market and our priorities for intervention.