Showing 421 to 430 of 452 search results for our enforcement.

421. Keynote address: Financial crime in the FCA world

     Speeches Published: 01/07/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

422. The changing face of financial crime

     Speeches Published: 30/06/2013 Last modified: 05/04/2023
     Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London.

423. Tribunal upholds FCA ban and significant fine on insurance broker

     Press Releases Published: 28/06/2013 Last modified: 17/09/2013
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

424. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

425. FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain

     Press Releases Published: 19/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This

426. Conduct in a new era: leaders rejecting complacency

     Speeches Published: 13/06/2013 Last modified: 18/07/2013
     Speech by John Griffith-Jones, Chairman, the FCA, to theCityUK conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

427. 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

428. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

429. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

     Press Releases Published: 04/06/2013 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

430. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

     Press Releases Published: 30/04/2013 Last modified: 13/05/2013
     The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687