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Showing 331 to 340 of 443 search results for FCA's enforcement case.

  1. Phillip Boakes sentenced following FCA prosecution

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    Phillip Boakes sentenced following FCA prosecution. Press Releases First published:. 06/03/2015. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  2. 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

  3. 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.

  4. 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.

  5. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... Yet, despite this, as our most recent thematic review in this area shows,

  6. 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:. ... This case shows that the FCA will vigorously protect consumers from those who break the law and do whatever it can to get their money back to them.

  7. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

  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
    This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,

  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 expects all listed companies to learn the lessons from this case and to ensure they have the right controls and training in place.".

  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