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Culture and governance
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans Magnus Michael Peterson from the financial services industry
Mark Steward, Director of Enforcement and Market Oversight at the Financial Conduct Authority, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer
Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward. -
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
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 -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
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). -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
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 -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
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 -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
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. -
The Financial Conduct Authority publishes new referral criteria for enforcement investigations
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. -
Individual sentenced for role in operating unauthorised collective investment scheme
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.