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Showing 82 to 91 of 1928 search results for FCA fines compliance.

  1. Fines

    Table of fines with links to further information.

  2. Our supervision overview

    Speeches Published: 02/06/2014 Last modified: 03/06/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. 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

  4. First-tier Tribunal upholds decision to fine Hall and Hanley Limited for data breaches and unauthorised copying of client signatures

    Press Releases Published: 18/12/2019 Last modified: 18/12/2019
    The First-tier Tribunal (the Tribunal) has upheld a fine of £91,000 imposed on Hall and Hanley Limited (H&H) by the Claims Management Regulator (CMR), the former regulator for claims management companies (CMCs). The hearing for the Tribunal was

  5. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    There are also broader business considerations driven by strategic business decisions, increased capital requirements, or overall compliance costs. ... As part of that integrity objective, we are charged with supervising banks’ compliance with AML

  6. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

  7. Wholesale Conduct Risk

    Speeches Published: 24/07/2015 Last modified: 24/07/2015
    The fines paid by large global banks in the past 7 years top some $235bn. ... There are, even with the growing size of compliance teams, many more people in the front line.

  8. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Accomplishments of the last 5 years

    Speeches Published: 14/03/2018 Last modified: 14/03/2018
    Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.

  10. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    The Financial Conduct Authority (FCA) has issued its largest ever retail fine of £30,647,400 to HomeServe Membership Limited (HomeServe). ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  11. FSA fines Société Générale £1.575 million for failures in transaction reporting

    Press Releases Published: 25/08/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit
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