Showing 321 to 330 of 370 search results for take enforcement action.

321. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

322. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     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.

323. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     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.

324. FCA confirms how it will use new power to publicise warning notices

     Press Releases Published: 15/10/2013 Last modified: 15/10/2013
     The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Previously, the regulator could only publish information about enforcement

325. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

326. FCA Catalyst default statement

     Statements Published: 04/10/2013 Last modified: 04/10/2013
     Investors do not need to take any action in the meantime - more information is available from the FSCS website. ... The FCA has also taken enforcement action against Catalyst, and three of its current and former directors.

327. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

     Press Releases Published: 03/10/2013 Last modified: 07/02/2022
     he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

328. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     The lessons however go far wider than LIBOR and we will take a very dim view of those who do not learn them.". ... IEL also agreed to settle an action brought by the CFTC, who imposed a financial penalty of $65 million.

329. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

     Press Releases Published: 19/09/2013 Last modified: 19/09/2013
     Commodity Futures Trading Commission for their co-operation. JPMorgan also agreed to settle actions brought by the U.S. ... Principle 3 requires regulated firms to take reasonable care to organise and control their affairs responsibly and effectively

330. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     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.