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Showing 321 to 330 of 401 search results for FCA's enforcement and market oversight.

  1. 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.

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

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    Mark Steward, director of enforcement and market oversight at the FCA, said: “We expect all firms to have the right controls in place to mitigate risks and protect their clients and ... The FCA has an overarching strategic objective of ensuring the

  3. £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.

  4. 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

  5. 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.

  6. 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.

  7. 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.

  8. 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.

  9. Culture and governance

    Speeches Published: 11/11/2015 Last modified: 24/11/2015
    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.

  10. FCA bans Magnus Michael Peterson from the financial services industry

    Press Releases Published: 26/10/2015 Last modified: 21/11/2016
    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.