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Showing 82 to 91 of 163 search results for fines and penalties.

  1. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.
  2. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Second, clear, salient and regular regulatory communications about penalty actions are likely to increase the impact of the probability of getting caught and punished. ... To increase the salience of potential penalties, these firms could make sure that
  3. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

    Press Releases Published: 01/09/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification
  4. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

    Press Releases Published: 15/07/2016 Last modified: 15/07/2016
    The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure. ... In agreeing to settle at the earliest opportunity, Mr Breeze received a further discount of 30%; but for this, the FCA would
  5. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... Were it not for this discount, the Authority would have imposed a financial penalty of £85,817.97.
  6. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    Were it not for this discount, the FCA would have imposed a penalty of £2,951,179 on the firm. ... The penalty imposed on Lloyds was the largest ever retail fine.
  7. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    FCA fines and bans financial adviser for insider dealing. Press Releases First published:. ... He also provided evidence of serious financial hardship; but for this, the FCA would have imposed a penalty of £78,819.
  8. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    This ban should reinforce the message that working in financial markets entails obligations and responsibilities and that serious failures will result in substantial penalties including fines and prohibitions.”. ... The FCA has imposed 7 fines,
  9. National Audit Office report – financial services mis-selling: regulation and redress

    Statements Published: 24/02/2016 Last modified: 24/02/2016
    The National Audit Office (NAO) has today (24 February 2016) published its report on financial services mis-selling: regulation and redress.
  10. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative. ... Were it not for the total discount of 30%, the financial penalty would have been £1,132,747.