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Showing 271 to 280 of 352 search results for Enforcement and Market Oversight said.
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Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
Former equities trader at Schroders Investment Management sentenced for insider dealing
Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. -
FCA bans two individuals for lack of integrity
Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA fines and bans financial adviser for insider dealing
Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
FCA wins case in the Supreme Court
In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at -
FCA and PRA jointly publish proposals to enhance enforcement decision-making processes
The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.