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Showing 151 to 160 of 202 search results for take enforcement action against firms.
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Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
The argument being that firms have to work harder to retain their market share. ... So, yes, there was the normal financial analysis of firms and consumer research. -
Regulating in a recovery
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
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 -
FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344
The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds). -
Consumer Credit Seminar
Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA. -
Surveillance: The FCA's expectations and toolkits
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. -
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers
actions.". Cameron was a director of London-based financial advisory firm Burlington Associates Limited (Burlington) between May 2003 and January 2009. ... The FCA has previously taken action against two other individuals – Jeffrey Bennett and John -
Sustainability
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 – -
The technology challenge
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.