Showing 132 to 141 of 317 search results for enforcement investigations.

132. Should you invest?

     Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

133. FCA statement on thematic review into fair treatment of longstanding customers in the life insurance sector

     Statements Published: 12/06/2018 Last modified: 15/06/2018
     On 3 March 2016 the Financial Conduct Authority (FCA) announced investigations into six firms as a result of its thematic review into the fair treatment of longstanding customers.

134. FCA secures increased confiscation order against Benjamin Wilson

     Press Releases Published: 11/06/2018 Last modified: 11/06/2018
     Today, His Honour Judge Grieve QC sitting at the Central Criminal Court increased the value of a confiscation order made against Benjamin Wilson, a convicted fraudster, from £1 to £31,905.33. The increased order must be paid within 28 days or Mr

135. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

     Press Releases Published: 06/06/2018 Last modified: 06/06/2018
     The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

136. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

137. FCA secures confiscation orders totalling £1.69 million against convicted insider dealers

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     These confiscation orders follow an FCA prosecution in which Messrs Dodgson and Hind were convicted of conspiring to insider deal.

138. FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry

     Press Releases Published: 06/03/2018 Last modified: 06/03/2018
     The Financial Conduct Authority (FCA) has banned the former Chair of Co-operative Bank PLC (Co-op Bank), Paul Flowers, from the financial services industry.

139. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

     Press Releases Published: 05/03/2018 Last modified: 05/03/2018
     The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

140. Nausicaa Delfas appointed Executive Director of International

     Press Releases Published: 01/02/2018 Last modified: 01/02/2018
     The Financial Conduct Authority has today announced the appointment of Nausicaa Delfas as the Executive Director of International.

141. Samrat Bhandari sentenced in FCA prosecution of £1.4 million investment scheme

     Press Releases Published: 31/01/2018 Last modified: 31/01/2018
     Samrat Bhandari, who played a prime role in the operation of an investment scheme which led to investors losing just over £1.4 million, was today sentenced at Southwark Crown Court to a total of 3½ years’ imprisonment. He was also disqualified

142. FCA fines and bans former RBS trader, Neil Danziger

     Press Releases Published: 08/01/2018 Last modified: 08/01/2018
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated