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Showing 721 to 730 of 939 search results for enforcement.

721. 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:.

722. FCA fines Barclays £284,432,000 for forex failings

     Press Releases

     Published: 19/05/2015

     Last modified: 17/04/2026

     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.

723. Pardip Saini Sentenced for Failing to Pay Confiscation Order

     Press Releases

     Published: 28/04/2015

     Last modified: 23/11/2021

     Today, Pardip Saini was sentenced to 528 days imprisonment for failing to pay a Confiscation Order made against him.

724. Moorhouse fined for failures in relation to its telephone sales

     Press Releases

     Published: 23/04/2015

     Last modified: 23/04/2015

     SMEs. Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

725. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases

     Published: 23/04/2015

     Last modified: 24/04/2015

     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of

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

     Press Releases

     Published: 22/04/2015

     Last modified: 22/04/2015

     Georgina Philippou, FCA acting director of enforcement and market oversight, said:. ... Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and

727. Tribunal directs Financial Conduct Authority to ban former insurance broker

     Press Releases

     Published: 16/04/2015

     Last modified: 16/04/2015

     trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:.

728. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

     Press Releases

     Published: 15/04/2015

     Last modified: 15/04/2015

     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

729. 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:.

730. Kenneth Carver fined £35,212 for insider dealing

     Press Releases

     Published: 30/03/2015

     Last modified: 30/11/2016

     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.