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Showing 311 to 320 of 401 search results for FCA's enforcement and market oversight.
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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 FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
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. -
FCA bans former RBS LIBOR submitter, Paul White
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. -
Phillip Boakes Sentenced for Failing to Pay Confiscation Order
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.