News

  1. News
  2. News search results
Filter results
Filter by year
Sort by:

Search results

Showing 321 to 330 of 443 search results for FCA's enforcement case.

  1. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    Georgina Philippou, FCA acting director of enforcement and market oversight, said:. ... Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and

  2. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... FCA as grounds to prohibit him, in place of the FCA’s case concerning insurance fees.

  3. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

    Press Releases Published: 14/04/2015 Last modified: 30/09/2016
    Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... The FCA also found that complaint handlers were failing to identify cases where the PPI policy sold was unsuitable for the customer, and found deficiencies in

  4. Ryan Willmott sentenced to 10 months imprisonment for insider dealing

    Press Releases Published: 27/03/2015 Last modified: 05/04/2023
    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

  5. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    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).

  6. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    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

  7. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    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.

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

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    the FCA to issue its final notice, which reflects the FSA’s 2012 decision. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

  9. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

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

  10. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Money Advice Scotland, Edinburgh. ... Now that debate was resolved last year when the FCA took on that responsibility.