Showing 171 to 180 of 221 search results for take enforcement action against.

171. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

172. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

     Press Releases Published: 23/10/2014 Last modified: 23/10/2014
     The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

173. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

174. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

175. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... The FCA has previously taken action against two other individuals – Jeffrey Bennett and John Leslie – for failing to oversee adequately the

176. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     barriers to us bringing successful enforcement action.That has been amply demonstrated by our actions in cases such as LIBOR and the JP Morgan London Whale case. ... We expect firms to listen to what we say and take note of our previous actions –

177. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

178. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

     Press Releases Published: 23/05/2014 Last modified: 24/03/2015
     Plunkett’s actions boosted his own trading book by US$1.75m (excluding hedging). ... Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays.

179. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     As we have said before, firms need to take their responsibilities to uphold market integrity seriously. ... If firms fail to heed these warnings then we will take action against them.”.

180. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being