Showing 121 to 130 of 162 search results for potential enforcement action.

121. New priorities for banking reform

     Speeches Published: 17/06/2015 Last modified: 17/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

122. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

     Press Releases Published: 17/06/2015 Last modified: 17/06/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... This review included historic

123. Eight convicted for role in unauthorised collective investment scheme

     Press Releases Published: 01/06/2015 Last modified: 04/06/2015
     Mr Crawley and Mr Daley had already been disqualified as directors following action taken by the Insolvency Service. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

124. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

125. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

126. FCA fines Barclays £284,432,000 for forex failings

     Press Releases Published: 19/05/2015 Last modified: 17/11/2021
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

127. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases Published: 23/04/2015 Last modified: 24/04/2015
     This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... Deutsche Bank’s misconduct in relation to EURIBOR exemplifies how serious its

128. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Mr Willmott held inside information relating to a potential takeover of Logica through his employment at the group. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

129. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

130. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... There is, if you like, now the potential for long run solutions that not only support consumers.