Showing 21 to 30 of 34 search results for Foreign Investments Enforcement.

21. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    Announcements of huge penalties for the manipulation of the foreign exchange market were accompanied by those dismayingly familiar trader messages. ... They are hugely important and almost other-worldly in scale:. turnover in foreign exchange markets is

22. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    bonuses) in banks, building societies, and PRA-designated investment firms, which were released in June. ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.

23. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

    Press Releases Published: 23/06/2015 Last modified: 23/06/2015
    Feedback on incoming branches of foreign firms – summer 2015 (with the timing of final rules to depend on the legislation). ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.

24. 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.

25. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    Publication in CP15/10 of FCA/PRA consultation on the accountability regime for foreign branches – March 2015. ... Publication of FCA Policy Statement on foreign branches (subject to Parliament extending the regime to foreign branches).

26. Phillip Boakes sentenced following FCA prosecution

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    Boakes ran a scam through his company CurrencyTrader Ltd, which claimed to carry out foreign exchange spread betting for its customers. ... He promised fantastic returns but, as is so often the case with unauthorised investment schemes, those who

27. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... Hope pleaded guilty to operating a collective investment scheme without authorisation on 23 April 2014 and was convicted of fraud by a jury on 9

28. Unauthorised Forex Investment Fraudster Convicted

    Press Releases Published: 09/01/2015 Last modified: 09/01/2015
    Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... Hope told investors that he would trade their money on the foreign exchange (forex) markets.

29. FCA Enforcement and the Wholesale Markets

    Speeches Published: 26/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

30. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    payments; customers were left without cash in foreign countries; the Banks applied incorrect credit and debit interest to customers’ accounts and produced inaccurate bank statements; and some organisations were unable to ... Today’s fine is the first