Showing 61 to 70 of 100 search results for take enforcement action against firms and other regulated.

61. 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

62. 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. ... It was not envisioned that this extended regime would bring any new parties within regulation itself, but rather it would

63. Eight convicted for role in unauthorised collective investment scheme

    Press Releases Published: 01/06/2015 Last modified: 04/06/2015
    The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and those who assist them like solicitors. ... The plea was on a written basis that included the fact that he accepted his

64. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

    Press Releases Published: 20/05/2015 Last modified: 22/05/2015
    Today’s fine reflects the fact that we will not hesitate to take action against firms or individuals who fail to put the best interests of their clients first.”. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the

65. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

66. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... On 1 April 2013 the FCA became responsible for the conduct supervision of all

67. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Consideration of confiscation and other financial orders will take place at a later date. ... On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all regulated financial firms and the prudential

68. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... compromised. "This case and other recent Significant Influence Function (SIF)

69. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

70. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... And where they fall short, particularly where they fail to learn lessons from other action, they should pay the price.