Showing 361 to 370 of 370 search results for take enforcement action.

361. Four building blocks of efficient capital markets

     Speeches Published: 01/02/2013 Last modified: 29/03/2013
     Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

362. Monitoring orders and transactions – our expectations of firms

     Speeches Published: 31/01/2013 Last modified: 29/03/2013
     Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

363. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

364. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

     Press Releases Published: 15/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.

365. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

     Press Releases Published: 04/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

366. Barclays fined £59.5 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 27/06/2012 Last modified: 22/03/2013
     The Financial Services Authority (FSA) has today fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever

367. International Mergers & Acquisitions Administration (www.international-maa.org) (clone of FCA authorised firm)

     Warnings Published: 12/06/2012 Last modified: 29/09/2015
     Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

368. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

369. FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls

     Press Releases Published: 08/01/2009 Last modified: 08/11/2016
     The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with

370. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

     Press Releases Published: 17/12/2007 Last modified: 08/11/2016
     The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in