Showing 231 to 240 of 272 search results for FCA's Executive Director of Enforcement and Market Oversight.

231. FCA fines bond trader £60,000 for market abuse

     Press Releases Published: 22/11/2017 Last modified: 22/11/2017
     The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.

232. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

233. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

234. FCA bans debt management couple for misappropriating client money

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

235. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

     Press Releases Published: 17/10/2017 Last modified: 17/10/2017
     The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 

236. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

237. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

238. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

     Press Releases Published: 09/08/2017 Last modified: 09/08/2017
     On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

239. FCA secures £350,000 confiscation order against convicted insider dealer

     Press Releases Published: 24/07/2017 Last modified: 24/07/2017
     Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3

240. FCA fines compliance oversight officer for pension transfer failings

     Press Releases Published: 14/07/2017 Last modified: 14/07/2017
     The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB