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Tag Result: enforcement

Whistleblowing cases fall for second year – FCA

There were 29 whistleblowing disclosures to the Financial Conduct Authority (FCA) by mortg...

  • Jul 06, 2017
  • 0

Regulators tighten enforcement regime for industry wrongdoers

The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) will a...

  • Feb 01, 2017
  • 0

Barclays slammed with record £72m fine for poor UK financial crime defences

The Financial Conduct Authority (FCA) has fined Barclays Bank £72,069,400 for failing to ...

  • Nov 26, 2015
  • 2

FCA hires enforcement chief from Hong Kong regulator

The Financial Conduct Authority (FCA) has looked east for its new head of enforcement, bri...

  • Jun 05, 2015
  • 0

Fine and ban for ex-Financial network director

The Financial Conduct Authority (FCA) has banned Stephen Bell, the former compliance direc...

  • Mar 13, 2015
  • 0

FCA bans chartered surveyors firm

The FCA has announced that it has stripped chartered surveyor firm Castle Wildish of its p...

  • Oct 13, 2014
  • 0

FCA fines Deutsche Bank £4.7m for reporting failures

The Financial Conduct Authority has fined Deutsche Bank £4.7m for incorrectly reporting f...

  • Aug 28, 2014
  • 0

Almost all FCA fines via settlement deals – research

Some 97% of the £943m in fines collected by the financial regulator between 2010 and 2013...

  • Aug 26, 2014
  • 0

Insurance broker fined for anti-bribery and corruption failings

The Financial Conduct Authority (FCA) has fined Besso Limited £315,000 for a failure to t...

  • Mar 19, 2014
  • 0

FCA bans and fines mutual non-executive director

The FCA is set to ban and fine former non-executive director Angela Burns £154,800 for fa...

  • May 24, 2013
  • 0

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