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724459
star this property registered interest false more like this
star this property date less than 2017-04-25more like thismore than 2017-04-25
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government on which occasions the Financial Conduct Authority imposed a financial penalty on a firm or individual since 2007. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6850 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6851 more like this
HL6852 more like this
HL6853 more like this
HL6854 more like this
star this property question first answered
less than 2017-04-27T10:52:43.36Zmore like thismore than 2017-04-27T10:52:43.36Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
724460
star this property registered interest false more like this
star this property date less than 2017-04-25more like thismore than 2017-04-25
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government whether the Financial Conduct Authority (1) has taken disciplinary action against individuals since 2007 and if so how many; and (2) whether records are kept of those individuals or firms who faced disciplinary action after a fine was imposed. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6851 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6850 more like this
HL6852 more like this
HL6853 more like this
HL6854 more like this
star this property question first answered
less than 2017-04-27T10:52:43.423Zmore like thismore than 2017-04-27T10:52:43.423Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
724461
star this property registered interest false more like this
star this property date less than 2017-04-25more like thismore than 2017-04-25
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government in how many instances since 2007 the Financial Conduct Authority has increased a financial penalty as a result of a firm failing to take the disciplinary action required by the Authority. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6852 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6850 more like this
HL6851 more like this
HL6853 more like this
HL6854 more like this
star this property question first answered
less than 2017-04-27T10:52:43.323Zmore like thismore than 2017-04-27T10:52:43.323Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
724462
star this property registered interest false more like this
star this property date less than 2017-04-25more like thismore than 2017-04-25
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Conduct more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government how many times the powers in the Financial Services and Markets Act 2000 to impose requirements on firms to change their behaviour have been used and whether they will list each occasion and what requirements were requested. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6853 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6850 more like this
HL6851 more like this
HL6852 more like this
HL6854 more like this
star this property question first answered
less than 2017-04-27T10:52:43.167Zmore like thismore than 2017-04-27T10:52:43.167Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
724463
star this property registered interest false more like this
star this property date less than 2017-04-25more like thismore than 2017-04-25
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government what proportion of the financial penalties imposed by the Financial Conduct Authority since 2007 have been accompanied by the use of powers in the Financial Services and Markets Act 2000 to require changes to a firm's or individual’s behaviour. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6854 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6850 more like this
HL6851 more like this
HL6852 more like this
HL6853 more like this
star this property question first answered
less than 2017-04-27T10:52:43.47Zmore like thismore than 2017-04-27T10:52:43.47Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
723720
star this property registered interest false more like this
star this property date less than 2017-04-24more like thismore than 2017-04-24
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Productivity more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government what assessment they have made of the effect of Brexit on the UK's GDP per hour worked, in comparison to (1) Germany, (2) France, and (3) Italy. more like this
star this property tabling member printed
Lord Berkeley more like this
unstar this property uin HL6762 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-27more like thismore than 2017-04-27
star this property answer text <p>The Government has made no assessment of the effect of leaving the EU on the UK’s GDP per hour worked compared to that of other countries.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property question first answered
less than 2017-04-27T10:53:04.823Zmore like thismore than 2017-04-27T10:53:04.823Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
3526
unstar this property label Biography information for Lord Berkeley more like this
723750
star this property registered interest false more like this
star this property date less than 2017-04-24more like thismore than 2017-04-24
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government, for each fine imposed by the Financial Conduct Authority since 2007, what was (1) the amount of the fine before any discounts arising from early settlement, (2) the amount paid, and (3) the amount of any discounts applied. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6792 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-26more like thismore than 2017-04-26
star this property answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6793 more like this
HL6794 more like this
HL6795 more like this
HL6796 more like this
star this property question first answered
less than 2017-04-26T16:12:54.773Zmore like thismore than 2017-04-26T16:12:54.773Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
723751
star this property registered interest false more like this
star this property date less than 2017-04-24more like thismore than 2017-04-24
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government on how many occasions the Financial Conduct Authority has exercised its powers to increase a fine that it has already imposed; and, in each case, what were the reasons for the exercise of those powers. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6793 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-26more like thismore than 2017-04-26
star this property answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6792 more like this
HL6794 more like this
HL6795 more like this
HL6796 more like this
star this property question first answered
less than 2017-04-26T16:12:54.837Zmore like thismore than 2017-04-26T16:12:54.837Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
723752
star this property registered interest false more like this
star this property date less than 2017-04-24more like thismore than 2017-04-24
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government what are all the factors they, and the Financial Conduct Authority (FCA), consider as aggravating a breach of conduct for which a fine may be imposed by the FCA, which may lead to an increase in that fine. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6794 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-26more like thismore than 2017-04-26
star this property answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6792 more like this
HL6793 more like this
HL6795 more like this
HL6796 more like this
star this property question first answered
less than 2017-04-26T16:12:54.897Zmore like thismore than 2017-04-26T16:12:54.897Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this
723753
star this property registered interest false more like this
star this property date less than 2017-04-24more like thismore than 2017-04-24
star this property answering body
HM Treasury more like this
star this property answering dept id 14 more like this
star this property answering dept short name Treasury more like this
star this property answering dept sort name CaTreasury more like this
star this property hansard heading Financial Services: Fines more like this
star this property house id 2 more like this
star this property legislature
25277
unstar this property pref label House of Lords more like this
star this property question text To ask Her Majesty’s Government how the Financial Conduct Authority investigates and documents the process by which it evaluates aggravating factors which may lead to an increase in an already imposed fine. more like this
star this property tabling member printed
Lord Mendelsohn more like this
unstar this property uin HL6795 more like this
star this property answer
answer
star this property is ministerial correction false more like this
star this property date of answer less than 2017-04-26more like thismore than 2017-04-26
star this property answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> more like this
star this property answering member printed Baroness Neville-Rolfe remove filter
star this property grouped question UIN
HL6792 more like this
HL6793 more like this
HL6794 more like this
HL6796 more like this
star this property question first answered
less than 2017-04-26T16:12:54.96Zmore like thismore than 2017-04-26T16:12:54.96Z
star this property answering member
4284
star this property label Biography information for Baroness Neville-Rolfe more like this
star this property tabling member
4286
unstar this property label Biography information for Lord Mendelsohn more like this