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Showing 281 to 290 of 334 search results for Director of Enforcement and Market Oversight at the FCA said.

  1. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    Georgina Philippou, acting director of enforcement and market oversight at the FCA, said: “The FCA relies on senior directors such as Mr McNeil to let us know about significant risks in ... The FCA has an overarching strategic objective of ensuring the

  2. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  3. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

    Press Releases Published: 11/08/2015 Last modified: 18/11/2021
    The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

  4. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

  5. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

    Press Releases Published: 30/07/2015 Last modified: 30/07/2015
    Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  6. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

    Press Releases Published: 10/07/2015 Last modified: 24/04/2019
    Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA has anoverarching strategic objective of ensuring the relevant markets function well.

  7. Individual sentenced for role in operating unauthorised collective investment scheme

    Press Releases Published: 19/06/2015 Last modified: 19/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  8. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... The FCA has an overarching

  9. Former director banned from conducting regulated activity

    Statements Published: 09/06/2015 Last modified: 09/06/2015
    Former director banned from conducting regulated activity. Statements First published:. 09/06/2015. ... Georgina Philippou, acting director of enforcement and market oversight said:. "Mr Allen failed to act with honesty and integrity.

  10. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... The FCA also announced the details of three recent key Director appointments as Marc Teasdale was named Director of Market Oversight within the Enforcement and Market