Showing 181 to 190 of 221 search results for take enforcement action against.

181. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

     Press Releases Published: 31/03/2014 Last modified: 01/04/2014
     the FCA will continue to deliver the commitment to establish a robust framework of supervision for LIBOR and take tough and meaningful action against firms and individuals who fail to follow ... continuing the FCA’s credible deterrence agenda and

182. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

183. FCA wins case against Capital Alternatives

     Press Releases Published: 17/02/2014 Last modified: 28/01/2015
     FCA wins case against Capital Alternatives. Press Releases First published:. 17/02/2014. ... The FCA has explained to investors in each of the schemes that they do not need to take any action at this stage regarding the FCA’s case.

184. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

185. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... JLTSL failed to manage the risks created by overseas payments, so the FCA has taken action against JLTSL for

186. Tribunal bans former trader for lying to the FCA and the Tribunal

     Press Releases Published: 17/12/2013 Last modified: 19/12/2013
     Given this finding the Tribunal allowed Hobbs’ reference and directed the FCA to take no action against him. ... Tracey McDermott, Director of Enforcement and Financial Crime, said:. “Hobbs misled the FCA during its investigation.

187. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

     Press Releases Published: 17/12/2013 Last modified: 12/06/2020
     Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

188. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Firms should be in no doubt that we will take action when they - or their appointed representatives - fail to treat their customers fairly.". ... Porta Verde was responsible for its ARs' conduct, so the FCA has taken action against Porta Verde for

189. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

     Press Releases Published: 12/12/2013 Last modified: 07/02/2022
     Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

190. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.