Showing 101 to 110 of 162 search results for potential enforcement action.

101. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

102. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

103. Ageing population: update from the FCA

     News stories Published: 15/09/2016 Last modified: 06/03/2017
     We have published this statement to warn consumers against dealing with unauthorised firms.

104. London FinTech Week 2016 - innovation in RegTech

     Speeches Published: 25/07/2016 Last modified: 31/10/2016
     Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

105. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

106. Speech: Regulators should heed lessons from mishandling of Hillsborough process

     Insight Published: 07/06/2016 Last modified: 17/02/2017
     Speech by: Tracey McDermott, Acting Chief Executive, FCA. Location: Enforcement Conference, Wilton Park, 5 May 2016. ... These are sobering events and you might ask what all of that has got to do with enforcement and prosecution of financial services

107. FCA Research into the issue of de-risking

     News stories Published: 24/05/2016 Last modified: 24/05/2016
     The work not only continues, but has been reinforced by the Government’s recent action plan. ... These include specific customer considerations such as the assessment of the credit risk presented by the potential customer and the prospective

108. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

109. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     We provided a witness statement for the prosecution which set out the actions that we took after being made aware of allegations that Mr Hall had acted inappropriately:. ... Where we become aware of potential criminal activity in markets that we regulate,

110. Innovate Finance Global Summit

     Speeches Published: 11/04/2016 Last modified: 09/05/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.