Showing 221 to 230 of 322 search results for will not take enforcement action.

221. 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.

222. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

     Press Releases Published: 17/06/2015 Last modified: 17/06/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... We expect listed companies to

223. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

     Press Releases Published: 05/06/2015 Last modified: 05/06/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Customers do not need to take any action. Those affected and due redress are being contacted directly.

224. 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. ... Mr Mitchie was sentenced today and Mr Hawkins will be sentenced at a later

225. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

226. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

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

     Press Releases Published: 20/05/2015 Last modified: 22/05/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... 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.

228. 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.

229. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... MiFID II will take effect from 3

230. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Customers do not need to take any action – Clydesdale will be contacting all affected customers in due course.