Showing 121 to 130 of 221 search results for take enforcement action against.

121. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

122. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     This means changing the private benefits and costs of particular courses of action for the agents so that they actually prefer to do ‘the right thing’.In regulation or law enforcement ... working in the relevant area are made aware of the enforcement

123. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases Published: 12/10/2016 Last modified: 12/10/2016
     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

124. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

     Press Releases Published: 05/10/2016 Last modified: 03/11/2016
     The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

125. Ageing population: update from the FCA

     News stories Published: 15/09/2016 Last modified: 06/03/2017
     We have published this statement to warn consumers against dealing with unauthorised firms.

126. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

127. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Principle 3 requires firms to take reasonable care to organise and control their affairs responsibly and effectively and with adequate risk management systems. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for

128. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     We have taken action against firms on numerous occasions and there’s no excuse for firms continuing to get it wrong. ... We will continue to monitor how firms are dealing with complaints and will not hesitate to take action where we see firms not

129. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

130. FCA wins case in the Supreme Court

     Press Releases Published: 20/04/2016 Last modified: 23/11/2021
     In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at