Showing 261 to 270 of 586 search results for director of enforcement.

261. Market abuse requires a dynamic response to a changing risk profile

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     Speech delivered by Julia Hoggett, Director of Market Oversightat the FCA, at theAFME Implementation of the Market Abuse Regulation in the UK event, London. ... Speaker: Julia Hoggett, Director, Market Oversight. Event: Implementation of the Market Abuse

262. FCA warns public of investment scams as over £197 million reported losses in 2018

     Press Releases Published: 06/02/2019 Last modified: 11/04/2024
     The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018.

263. FCA fines former fund manager Paul Stephany

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

264. Manraj Virdee sentenced to 2 years for illegally operating an investment scheme and fraud

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     In a case brought by the Financial Conduct Authority (FCA), Manraj Virdee was yesterday sentenced at Southwark Crown Court to a 2 year prison sentence suspended for 2 years and he was further ordered to carry out 300 hours of unpaid work in the

265. 2019 fines

     News stories Published: 16/01/2019 Last modified: 20/01/2020
     This page contains information about enforcement fines published during the calendar year ending 2019.

266. Darren Newton banned from working in the financial services sector

     Press Releases Published: 20/12/2018 Last modified: 20/12/2018
     The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited.

267. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

     Press Releases Published: 19/12/2018 Last modified: 19/12/2018
     The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

268. FCA and PSR Boards appoint new members to decision-making committees

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     He is currently a Panel Member of the CMA, a Non-Executive Director at Bristol Water plc, an Honorary Lecturer in Economics at City University and a freelance adviser on economic ... Price Control Review at National Grid and was Director of UK Utility

269. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

270. ScamSmart prompts tens of thousands of pension holders to seek information

     Press Releases Published: 04/12/2018 Last modified: 04/12/2018
     The number of people seeking information about pension scams has soared since the launch of the first joint campaign by the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) this summer.