Showing 71 to 80 of 100 search results for take enforcement action against firms and other regulated.

71. The FCA’s new competition powers: what do they mean for the financial services industry?

    Speeches Published: 21/11/2014 Last modified: 09/11/2016
    Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

72. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

73. Regulating in a recovery

    Speeches Published: 13/11/2014 Last modified: 13/11/2014
    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.

74. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    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

75. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

    Press Releases Published: 05/11/2014 Last modified: 29/11/2021
    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

76. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

    Press Releases Published: 23/10/2014 Last modified: 23/10/2014
    The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

77. Consumer Credit Seminar

    Speeches Published: 21/10/2014 Last modified: 20/03/2024
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

78. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

    Press Releases Published: 29/08/2014 Last modified: 29/08/2014
    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

79. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... We expect firms to listen to what we say and take note of our previous actions

80. The technology challenge

    Speeches Published: 10/06/2014 Last modified: 19/06/2014
    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.