Showing 71 to 74 of 74 search results for proceedings in enforcement case.

71. FSA secures High Court victory against illegal land banking firm, Asset Land

    Press Releases Published: 11/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by

72. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

73. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

74. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

    Press Releases Published: 04/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.