Showing 291 to 300 of 370 search results for take enforcement action.

291. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

292. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

293. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

294. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... actions.". Cameron was a director of London-based financial advisory firm Burlington Associates Limited (Burlington) between May 2003 and January

295. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases Published: 27/08/2014 Last modified: 12/09/2014
     We made our concerns clear to the firms in November 2011 but it was almost a year later before the firms started to take proper steps to put things right. ... Where we raise concerns with firms we expect them to take effective action to resolve them

296. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases Published: 23/07/2014 Last modified: 23/07/2014
     its systems and controls and risk management framework in line with an agreed remedial action plan. ... The principal takes full responsibility for ensuring that the AR complies with our rules.

297. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

298. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases Published: 21/07/2014 Last modified: 21/07/2014
     not establishing adequately the level of risk a member is willing and able to take. ... The FCA has written to the CEO’s of all SIPP firms to warn them of the failings uncovered by its recent thematic review and asking them to take action to

299. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     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.

300. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Plunkett’s actions boosted his own trading book by US$1.75m (excluding hedging). ... Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays.