Showing 201 to 210 of 370 search results for take enforcement action.

201. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

     Press Releases Published: 05/12/2016 Last modified: 05/12/2016
     A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision

202. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

203. Effectiveness of the AML regime in disrupting financial crime

     Speeches Published: 10/11/2016 Last modified: 06/12/2016
     Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

204. The FCA Mission – a consultation

     Press Releases Published: 26/10/2016 Last modified: 31/10/2016
     The Financial Conduct Authority (FCA) has today launched a consultation on its Mission, which is designed to provide a guiding set of principles around the strategic choices the FCA makes. It will inform the FCA’s strategy and day-to-day work over

205. The rationale for the FCA’s Mission and the context which the FCA operates in

     Speeches Published: 26/10/2016 Last modified: 10/11/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

206. FCA to consult on mortgage payment shortfall remediation guidance

     Press Releases Published: 19/10/2016 Last modified: 25/10/2016
     The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

207. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     This means changing the private benefits and costs of particular courses of action for the agents so that they actually prefer to do ‘the right thing’.In regulation or law enforcement ... working in the relevant area are made aware of the enforcement

208. FCA publishes thematic review of annuity sales practices

     Press Releases Published: 14/10/2016 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.

209. 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

210. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

     Press Releases Published: 05/10/2016 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.