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Showing 91 to 100 of 107 search results for potential enforcement action against.
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The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays. ... Plunkett’s misconduct is particularly serious because he preferred his interests over those of a customer and his actions had the potential to -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
the FCA will continue to deliver the commitment to establish a robust framework of supervision for LIBOR and take tough and meaningful action against firms and individuals who fail to follow ... continuing the FCA’s credible deterrence agenda and -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson's actions artificially increased the mid-market price, making his offer to sell at a marginally lower price look superficially attractive. -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... JLTSL failed to manage the risks created by overseas payments, so the FCA has taken action against JLTSL for -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
Improving the consumer experience
Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Wealth Management Association (formerly APCIMS) speech
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. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.