Showing 271 to 280 of 322 search results for will not take enforcement action.

271. FCA bans former BGC senior executive Anthony Verrier

     Press Releases Published: 29/01/2014 Last modified: 30/06/2014
     Trust will not be restored in financial services unless professionals within it can be relied upon to act with integrity. ... Where we have evidence of failures to do so, in whatever context this occurs, the FCA will take action accordingly.".

272. 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).

273. Statement on Co-operative Bank enforcement investigation

     Statements Published: 06/01/2014 Last modified: 06/01/2014
     The Financial Conduct Authority (FCA) has confirmed it will be undertaking enforcement investigations into events at the Co-operative Bank. ... The independent review announced by the Chancellor will commence once it is clear that it will not prejudice

274. 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

275. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Firms should be in no doubt that we will take action when they - or their appointed representatives - fail to treat their customers fairly.". ... Porta Verde failed to take the necessary action to correct the problem, or ensure its ARs communicated with

276. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

     Press Releases Published: 11/12/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

277. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     We have repeatedly emphasised the importance of ensuring that client money is adequately protected and we have taken a number of enforcement actions against firms of all sizes for breaches of ... We will continue to take action to ensure that procedures

278. FCA statement regarding Co-operative Bank

     Statements Published: 22/11/2013 Last modified: 22/11/2013
     The Financial Conduct Authority (FCA) welcomes HM Treasury's announcement that an investigation will take place into the affairs of the Co-operative Bank and the actions of all relevant authorities. ... This investigation will take place under section 77

279. 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.

280. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.