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Showing 351 to 360 of 401 search results for FCA's enforcement and market oversight.
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FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Georgina Philippou, FCA acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Tribunal directs Financial Conduct Authority to ban former insurance broker
trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
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. -
Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Kenneth Carver fined £35,212 for insider dealing
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... The FCA has a statutory objective to ensure markets work well and to promote market integrity. -
Ryan Willmott sentenced to 10 months imprisonment for insider dealing
Ryan Willmott, the former group reporting and financial planning manager for Logica PLC, who pleaded guilty to three counts of insider dealing on 26 February 2015, has today been sentenced to 10 months imprisonment. He was also ordered to pay -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Former senior trader sentenced for insider dealing
In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The FCA has also banned Mr Bell from performing the compliance oversight function. ... Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:.