Showing 121 to 130 of 202 search results for take enforcement action against firms.

121. 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

122. 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

123. 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
     For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities. ... To guard against the risk of consumer detriment and risks to market integrity,

124. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins. ... Typically, securitisation firms purchase these policies from policy holders for a lump sum, and take on responsibility for paying the premiums.

125. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

126. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

127. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

128. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures. ... Firms who operate in these markets therefore need to take responsibility for ensuring standards of market practice are high.

129. New priorities for banking reform

     Speeches Published: 17/06/2015 Last modified: 17/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

130. Eight convicted for role in unauthorised collective investment scheme

     Press Releases Published: 01/06/2015 Last modified: 04/06/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and