Showing 111 to 120 of 202 search results for take enforcement action against firms.

111. 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

112. 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

113. 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

114. 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.

115. 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.

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

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     to meet our standards and, if so, whether remedial and/or disciplinary action is necessary or appropriate in relation to these firms or others across the market. ... The commencement of investigations should therefore not be taken to indicate that they

117. 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

118. 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.

119. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     If the authorised firm is not able to pay claims against it, you may be able to recover compensation from the FSCS up to £50,000 per investor, per authorised firm. ... Your right to pursue a claim (whether via the Fund, in your personal capacity or

120. 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,