Showing 381 to 390 of 586 search results for director of enforcement.

381. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

     Press Releases Published: 09/02/2016 Last modified: 09/02/2016
     Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in

382. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

383. Case concerning CEO referred to the Upper Tribunal

     Press Releases Published: 11/12/2015 Last modified: 11/12/2015
     Mr Charles Anthony Llewellen Palmer, the majority shareholder and CEO of Standard Financial Group Limited (group), and a director and de facto CEO of Financial Limited and Investments Limited ('the firms'), ... The FCA has taken enforcement action in

384. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

385. Money returned to investors with Anderson, Peacock and Pruthi

     News stories Published: 27/11/2015 Last modified: 12/04/2024
     The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi.

386. FCA fines Barclays £72 million for poor handling of financial crime risks

     Press Releases Published: 26/11/2015 Last modified: 26/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:.

387. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

     Statements Published: 24/11/2015 Last modified: 24/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:.

388. Publication of the PRA and FCA review into the failure of HBOS

     Press Releases Published: 19/11/2015 Last modified: 27/06/2019
     The PRA and FCA are therefore also today publishing Andrew Green QC's report into the FSA’s enforcement actions following the failure of HBOS. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early

389. FCA and PRA review into the failure of HBOS Group

     News stories Published: 19/11/2015 Last modified: 04/11/2019
     The FCA and the Prudential Regulation Authority (PRA) are publishing a review into the failure of HBOS Group.

390. FCA fines and bans former Investment Analyst at Aviva Investors

     Press Releases Published: 17/11/2015 Last modified: 03/09/2016
     This abusive practice is known as “cherry picking”. Mark Steward, Director of Enforcement at the FCA said:.