Showing 81 to 90 of 117 search results for financial crime in the Retail.

81. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

82. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business. ... In December 2012, new rules, known as the Retail Distribution Review (RDR), were introduced to the financial advice

83. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

    Press Releases Published: 23/10/2014 Last modified: 23/10/2014
    The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).

84. 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
    relation to the promotion of three unregulated collective investment schemes (UCIS) to retail investors. ... Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:.

85. 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
    The Financial Conduct Authority (FCA) has fined Stonebridge International Insurance Limited (Stonebridge) £8,373,600 in relation to sales of accident insurance products. ... Tracey McDermott, FCA director of enforcement and financial crime said:.

86. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... We agree - financial incentive schemes are often a good clue to a firm’s culture.

87. The technology challenge

    Speeches Published: 10/06/2014 Last modified: 19/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

88. Good conduct and market integrity

    Speeches Published: 02/06/2014 Last modified: 11/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

89. FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services

    Press Releases Published: 07/04/2014 Last modified: 07/04/2014
    However, it is likely two firms with egregious failings uncovered in the second cycle of the review will be referred to the FCA’s Enforcement and Financial Crime Division. ... Finalised Guidance: 12/15 – Retail Distribution Review: independent and

90. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

    Press Releases Published: 26/02/2014 Last modified: 26/02/2014
    The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA. ... Tracey McDermott, the FCA’s director of enforcement and financial crime, said:.