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Showing 631 to 640 of 939 search results for enforcement.

631. Speech: Culture in UK banking – regulatory priorities

     Insight

     Published: 18/10/2016

     Last modified: 17/02/2017

     In regulation or law enforcement (and, indeed, in firms’ own internal monitoring) this is often attempted by aiming to create ‘credible deterrence’. ... So can regulators’ choices in the targeting of enforcement, publicising their activity and

632. FCA publishes thematic review of annuity sales practices

     Press Releases

     Published: 14/10/2016

     Last modified: 24/11/2021

     The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.

633. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

     Press Releases

     Published: 13/10/2016

     Last modified: 13/10/2016

     The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

634. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

     Press Releases

     Published: 12/10/2016

     Last modified: 12/10/2016

     The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

635. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

     Press Releases

     Published: 05/10/2016

     Last modified: 03/11/2016

     The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

636. Alex Hope sentenced for failing to pay confiscation order

     Press Releases

     Published: 27/09/2016

     Last modified: 27/09/2016

     Alex Hope was today (27 September 2016) sentenced to 603 days’ imprisonment for failing to pay the full value of a confiscation order made against him.

637. A more effective approach to combatting financial crime

     Speeches

     Published: 21/09/2016

     Last modified: 29/09/2016

     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

638. Ageing population: update from the FCA

     News stories

     Published: 15/09/2016

     Last modified: 06/03/2017

     We have published this statement to warn consumers against dealing with unauthorised firms.

639. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

     Press Releases

     Published: 01/09/2016

     Last modified: 06/03/2017

     The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

640. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

     Press Releases

     Published: 09/08/2016

     Last modified: 06/03/2017

     The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,