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Showing 281 to 290 of 352 search results for Enforcement and Market Oversight said.

  1. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    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.

  2. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 15/03/2016 Last modified: 15/03/2016
    Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  3. Former equities trader pleads guilty to insider dealing

    Press Releases Published: 15/03/2016 Last modified: 05/04/2023
    Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

  4. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    deficient compliance oversight, including the absence of formal risk management framework for market abuse and inadequate post-trade surveillance systems, in which parameters did not match WHI’s specific business activities ... Mark Steward, director

  5. £2.9 million to be returned to investors following FCA prosecution

    Press Releases Published: 12/02/2016 Last modified: 30/09/2016
    Mark Steward, the FCA’s Director of Enforcement and Market Oversight said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  6. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in ... The FCA has an overarching strategic objective of

  7. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  8. Money returned to investors with Anderson, Peacock and Pruthi

    News stories Published: 27/11/2015 Last modified: 12/04/2024
    The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi.

  9. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    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.

  10. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

    Statements Published: 24/11/2015 Last modified: 24/11/2015
    Mark Steward, director of enforcement and market oversight at the FCA said:. ... Mr Boakes lost almost £1m of the £2.1m he traded. The FCA has an overarching strategic objective of ensuring the relevant markets function well.
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