Showing 331 to 340 of 367 search results for FCA Director of Enforcement and Market Oversight.

331. 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).

332. 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

333. 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.

334. 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
     FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:.

335. 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.

336. 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

337. 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

338. 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

339. 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.

340. 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.