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Showing 361 to 370 of 401 search results for FCA's enforcement and market oversight.

  1. Former chief executive of stockbroker firm fined £450,000 and banned

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    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.

  2. Phillip Boakes sentenced following FCA prosecution

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “Using fraud and forged documents, Boakes took in those who trusted him to invest their money. ... The FCA has an overarching strategic objective of ensuring the relevant

  3. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

    Press Releases Published: 05/03/2015 Last modified: 30/08/2015
    Georgina Philippou, acting director of enforcement and market oversight, commented:. “It is essential to consumer protection, market integrity and the prevention of financial crime that we can rely on firms giving ... The FCA has an overarching

  4. Former Group Treasurer and Head of Tax at Morrisons plc sentenced to 12 months imprisonment for insider dealing

    Press Releases Published: 03/03/2015 Last modified: 05/04/2023
    Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment. He was also ordered to pay £15,000 towards prosecution costs

  5. Former Logica PLC Manager pleads guilty to insider dealing

    Press Releases Published: 26/02/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has today pleaded guilty to three instances of insider dealing.

  6. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    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.

  7. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  8. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    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.

  9. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  10. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior