Showing 251 to 260 of 370 search results for take enforcement action.

251. 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 ... We expect listed companies to

252. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

     Press Releases Published: 05/06/2015 Last modified: 05/06/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Customers do not need to take any action. Those affected and due redress are being contacted directly.

253. Eight convicted for role in unauthorised collective investment scheme

     Press Releases Published: 01/06/2015 Last modified: 04/06/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and

254. 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.

255. 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.

256. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

     Press Releases Published: 20/05/2015 Last modified: 22/05/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Today’s fine reflects the fact that we will not hesitate to take action against firms or individuals who fail to put the best interests of their clients first.

257. 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.

258. 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
     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... This case shows how seriously we view a

259. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... MiFID II will take effect from 3

260. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Customers do not need to take any action – Clydesdale will be contacting all affected customers in due course.