Showing 131 to 140 of 221 search results for take enforcement action against.

131. The FCA’s Competition Powers

     Speeches Published: 23/03/2016 Last modified: 09/11/2016
     Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

132. Capital Alternatives: information for investors

     News stories Published: 18/03/2016 Last modified: 13/07/2021
     We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

133. FCA Statement on fair treatment of long-standing customers in the life insurance sector

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     The FCA’s thematic review assessed the treatment of closed-book customers against four high level customer outcomes:. ... The commencement of investigations should therefore not be taken to indicate that they will necessarily result in disciplinary

134. UK FinTech: Regulating for innovation

     Speeches Published: 23/02/2016 Last modified: 23/02/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

135. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

136. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     As with other enforcement investigations, we will not comment on it as it progresses. ... Your right to pursue a claim (whether via the Fund, in your personal capacity or otherwise) against Capita could be affected by the settlement of the civil legal

137. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     The action taken against Ms Grigg is final as she has not referred her case to the tribunal. ... The FCA has taken enforcement action in respect of related failings at the group, including against Financial Ltd and Investments Ltd and Mr Stephen Bell,

138. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

139. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

140. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

     Press Releases Published: 10/11/2015 Last modified: 10/11/2015
     The FCA believes that a sandbox could deliver a number of benefits to innovators, including reducing the time it takes for innovative ideas to come to market. ... For authorised firms, the FCA is proposing to use tools that give confidence that