Showing 411 to 420 of 452 search results for our enforcement.

411. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

412. The Referral Fee Ban: a coordinated approach to regulation

     Statements Published: 01/08/2013 Last modified: 01/08/2013
     Referral Fee Ban: Regulatory Relationships

413. Anti-money laundering

     News stories Published: 25/07/2013 Last modified: 25/07/2013
     This report sets out our obligations relating to anti-money laundering, our approach to carrying out those obligations, and the trends and emerging risks in money laundering that we are seeing in the firms we regulate.

414. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

     Press Releases Published: 24/07/2013 Last modified: 17/09/2013
     The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

415. FCA v former iSOFT directors

     Press Releases Published: 22/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

416. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

417. Ex-Mortgage Advisor sentenced to two years after FCA action

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud

418. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to

419. 100 days of the FCA

     Speeches Published: 09/07/2013 Last modified: 16/08/2013
     Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

420. FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd

     Press Releases Published: 03/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put