Showing 251 to 260 of 367 search results for FCA Director of Enforcement and Market Oversight.

251. Ross Peters Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 12/12/2017 Last modified: 08/05/2024
     Ross Peters was sentenced to 400 days’ imprisonment for failing to pay the full value of a confiscation order made against him.

252. FCA fines Bluefin £4m for misleading customers

     Press Releases Published: 06/12/2017 Last modified: 06/12/2017
     The Financial Conduct Authority (FCA) has today fined Bluefin Insurance Services Limited (Bluefin) £4,023,800 for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way

253. Effective global regulation in capital markets

     Speeches Published: 05/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

254. Four guilty in relation to £1.4 million investment scheme

     Press Releases Published: 01/12/2017 Last modified: 01/12/2017
     In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment scheme which led to more than 300 investors losing a total of

255. FCA fines bond trader £60,000 for market abuse

     Press Releases Published: 22/11/2017 Last modified: 22/11/2017
     The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.

256. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches Published: 14/11/2017 Last modified: 15/11/2017
     I have been Director of Market Oversight at the FCA for just over 6 months now and I would like to share with you several of my observations regarding both MAR; ... As Mark Steward, FCA Director of Enforcement and Market Oversight, has said in recent

257. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

258. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

259. FCA bans debt management couple for misappropriating client money

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

260. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

     Press Releases Published: 17/10/2017 Last modified: 17/10/2017
     The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules).