Showing 81 to 90 of 100 search results for take enforcement action against firms and other regulated.

81. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    In this environment, broker misconduct was almost inevitable. Similar cultural failings at other firms have caused havoc in the financial services industry. ... If firms fail to heed these warnings then we will take action against them.”.

82. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

    News stories Published: 28/04/2014 Last modified: 28/04/2014
    We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being

83. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    the FCA will continue to deliver the commitment to establish a robust framework of supervision for LIBOR and take tough and meaningful action against firms and individuals who fail to follow ... continuing the FCA’s credible deterrence agenda and

84. FCA wins case against Capital Alternatives

    Press Releases Published: 17/02/2014 Last modified: 28/01/2015
    In February 2014, High Court has ruled that two investment schemes, promoted by Capital Alternatives and a number of other firms, were collective investment schemes. ... The FCA has explained to investors in each of the schemes that they do not need to

85. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

    Press Releases Published: 23/01/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

86. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... JLTSL failed to manage the risks created by overseas payments, so the FCA has taken action against JLTSL for

87. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

    Press Releases Published: 17/12/2013 Last modified: 12/06/2020
    Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

88. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

89. Financial Conduct Authority appoints four new supervision directors

    Press Releases Published: 07/08/2013 Last modified: 09/12/2016
    The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

90. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

    Press Releases Published: 24/07/2013 Last modified: 17/09/2013
    The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.