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Showing 151 to 160 of 221 search results for take enforcement action against.

  1. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... This case shows how seriously we view a

  2. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  3. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  4. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... The Principal takes full responsibility for ensuring that the AR complies with our rules.

  5. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching

  6. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    As I’ve said before, firms must take their responsibility to reduce the risk of financial crime seriously. ... If you say you want something but your actions say something else, nothing will change.

  7. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Consideration of confiscation and other financial orders will take place at a later date. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:.

  8. Compensation package agreed for consumers sold card security products

    Press Releases Published: 27/01/2015 Last modified: 28/01/2015
    No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers. ... In order for a scheme of arrangement to be approved a number of steps have to take place.

  9. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

  10. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,
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