Showing 271 to 280 of 370 search results for take enforcement action.

271. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     As I’ve said before, firms must take their responsibility to reduce the risk of financial crime seriously. ... If you say you want something but your actions say something else, nothing will change.

272. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Consideration of confiscation and other financial orders will take place at a later date. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:.

273. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers. ... In order for a scheme of arrangement to be approved a number of steps have to take place.

274. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

275. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases Published: 22/01/2015 Last modified: 22/01/2015
     This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,

276. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases Published: 20/01/2015 Last modified: 24/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

277. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     Approved persons must act with honesty and integrity at all times and, where they do not, we will take action.'. ... Although the FCA is not penalising Burrows for not informing his employer the FCA has taken this into account, amongst other things, in

278. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... on:. how we can use enforcement to help behavioural change. the range of supervisory and enforcement actions we can take.

279. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... That is where I think enforcement action has its value; not just as a punishment but as a very public lesson from which all market

280. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     So, for example, if you look at last month’s response to FX, enforcement action was coupled with forward looking supervisory work, as well as continuing policy and thematic activity. ... What should not be difficult however, and what clients, investors