Showing 331 to 340 of 401 search results for FCA's enforcement and market oversight.

331. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     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.

332. 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

     Press Releases Published: 22/09/2015 Last modified: 14/11/2016
     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

333. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     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).

334. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... The FCA has an overarching strategic objective of ensuring the

335. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     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

336. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     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

337. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

     Press Releases Published: 30/07/2015 Last modified: 30/07/2015
     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.

338. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     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.

339. Individual sentenced for role in operating unauthorised collective investment scheme

     Press Releases Published: 19/06/2015 Last modified: 19/06/2015
     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.

340. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

     Press Releases Published: 17/06/2015 Last modified: 17/06/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... The FCA has an overarching