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Showing 71 to 80 of 248 search results for Executive Director of Enforcement and Market Oversight said.
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Decision of the Court of Appeal - R (Sutton) v Financial Conduct Authority
The Court of Appeal has refused permission for a group of traders to proceed with a judicial review of the FCA’s decision to provide assistance to the United States Commodity Futures Trading Commission (CFTC) in an ongoing investigation. -
FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares
On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect. -
Mark Steward to step down from the FCA
Mark Steward has announced he will be stepping down as the FCA’s executive director of Enforcement and Market Oversight after seven years with the regulator. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited. -
Agile regulation and planning for success
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022 -
FCA research: A quarter of consumers would withdraw pension savings earlier to cover cost of living – making them vulnerable to scammer ‘misdirection’
The FCA launches its latest ScamSmart campaign aimed at giving consumers the knowledge and tools to avoid pension scams -
FCA calls on victims of Richard Faithfull to come forward ahead of confiscation hearing
The FCA has called on victims of Richard Faithfull to come forward by 12 September 2022 in order to ensure they be part of any claim for compensation. -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation -
FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case