Showing 341 to 350 of 586 search results for director of enforcement.

341. Two sentenced in insider dealing case

     Press Releases Published: 13/01/2017 Last modified: 13/01/2017
     In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also

342. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

343. FCA launches market study on competition in the mortgage sector

     Press Releases Published: 12/12/2016 Last modified: 10/04/2024
     The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.

344. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

     Press Releases Published: 05/12/2016 Last modified: 05/12/2016
     A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision

345. Two plead guilty to insider dealing

     Press Releases Published: 30/11/2016 Last modified: 30/11/2016
     In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017

346. Effectiveness of the AML regime in disrupting financial crime

     Speeches Published: 10/11/2016 Last modified: 06/12/2016
     Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

347. FCA to consult on mortgage payment shortfall remediation guidance

     Press Releases Published: 19/10/2016 Last modified: 25/10/2016
     The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

348. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     second arrangement, the staff act as the firm’s agent in executing the business in accordance with the directors’ and by extension the regulator’s requirements. ... So can regulators’ choices in the targeting of enforcement, publicising their

349. FCA publishes thematic review of annuity sales practices

     Press Releases Published: 14/10/2016 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.

350. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

     Press Releases Published: 13/10/2016 Last modified: 13/10/2016
     The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also