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Showing 781 to 790 of 939 search results for enforcement.

781. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases

     Published: 29/08/2014

     Last modified: 29/08/2014

     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:.

782. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases

     Published: 28/08/2014

     Last modified: 28/08/2014

     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms.

783. FCA fines RBS and NatWest for failures in mortgage advice process

     Press Releases

     Published: 27/08/2014

     Last modified: 12/09/2014

     Tracey McDermott, director of enforcement and financial crime at the FCA said:.

784. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

     Press Releases

     Published: 07/08/2014

     Last modified: 07/08/2014

     Tracey McDermott, FCA director of enforcement and financial crime said:. "Customers are entitled to expect firms to provide them with fair and balanced information to enable them to make the right

785. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases

     Published: 28/07/2014

     Last modified: 28/07/2014

     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Our enforcement actions are an important source of information to help them do this.”.

786. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases

     Published: 23/07/2014

     Last modified: 23/07/2014

     Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:. ... The Group was referred to the FCA’s Enforcement Division following a risk assessment in May 2012 and the FCA’s predecessor the Financial Services Authority (FSA)

787. Sustainability

     Speeches

     Published: 22/07/2014

     Last modified: 05/08/2014

     But that is not, of course, the only thing my enforcement teams have been up to. ... An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas.

788. FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000

     Press Releases

     Published: 22/07/2014

     Last modified: 22/07/2014

     Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:.

789. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases

     Published: 21/07/2014

     Last modified: 21/07/2014

     The FCA have already required several firms to limit their business as part of the thematic review and in some cases have initiated enforcement investigation.

790. FCA and PRA publish detailed Terms of Reference for the HBOS Review

     Press Releases

     Published: 11/07/2014

     Last modified: 15/07/2014

     It was not appropriate to launch a wider review until the conclusion of enforcement proceedings.