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Showing 281 to 290 of 443 search results for FCA's enforcement case.

  1. Innovate Finance Global Summit

    Speeches Published: 11/04/2016 Last modified: 09/05/2016
    Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Consumer credit regulation: the journey so far

    Speeches Published: 08/04/2016 Last modified: 08/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Credit Summit 2016 on 7 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  3. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Capital Alternatives: information for investors

    News stories Published: 18/03/2016 Last modified: 13/07/2021
    We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

  5. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 15/03/2016 Last modified: 15/03/2016
    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.

  6. 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.

  7. UK FinTech: Regulating for innovation

    Speeches Published: 23/02/2016 Last modified: 23/02/2016
    Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

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

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    The Financial Conduct Authority (FCA) has fined W H Ireland Limited (WHI) £1.2million. ... 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

  9. £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.

  10. 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
    Although settlement in this case was reached during Stage 2 which would usually lead to a 20% discount, in exceptional cases the Authority may accept that there has been a substantial ... The FCA has an overarching strategic objective of ensuring the