Show Search Form

Search Results

registered interest	true false
date	exactly: or between: and
answering body
answering dept id
answering dept short name
answering dept sort name
hansard heading
house id
legislature	pref label
question text
tabling member printed
uin
answer	is ministerial correction true false date of answer exactly: or between: and answer text answering member printed grouped question UIN question first answered answering member label
tabling member	label

Search

724459

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6850
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6851 HL6852 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724460

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6851
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6852 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724461

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6852
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724462

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Conduct
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6853
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6852 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724463

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6854
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6852 HL6853 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723720

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Productivity
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Berkeley
uin	HL6762
answer	answer is ministerial correction date of answer 27/04/2017 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> answering member printed Baroness Neville-Rolfe question first answered 27/04/2017 10:53:04 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	3526 label Biography information for Lord Berkeley

723750

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6792
answer	answer is ministerial correction date of answer 26/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6793 HL6794 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723751

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6793
answer	answer is ministerial correction date of answer 26/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6792 HL6794 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723752

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6794
answer	answer is ministerial correction date of answer 26/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6792 HL6793 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723753

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
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.
tabling member printed	Lord Mendelsohn
uin	HL6795
answer	answer is ministerial correction date of answer 26/04/2017 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> answering member printed Baroness Neville-Rolfe grouped question UIN HL6792 HL6793 HL6794 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn