Showing 391 to 400 of 586 search results for director of enforcement.

391. Culture and governance

     Speeches Published: 11/11/2015 Last modified: 24/11/2015
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

392. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

     Press Releases Published: 10/11/2015 Last modified: 10/11/2015
     For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities. ... Please see innovate.fca.org.uk for more detail. Those who wish to provide input

393. Internal investigations by firms

     Speeches Published: 05/11/2015 Last modified: 05/11/2015
     Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

394. FCA bans Magnus Michael Peterson from the financial services industry

     Press Releases Published: 26/10/2015 Last modified: 21/11/2016
     Mark Steward, Director of Enforcement and Market Oversight at the Financial Conduct Authority, said:.

395. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward.

396. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

     Press Releases Published: 22/09/2015 Last modified: 14/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said: “The FCA relies on senior directors such as Mr McNeil to let us know about significant risks in ... Further, as Keydata’s finance director, Mr McNeil should

397. FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs

     Press Releases Published: 21/09/2015 Last modified: 21/09/2015
     Ofgem Enforcement Decision Panel and a member of the General Assembly of Manchester University. ... Service. She was a Non-Executive Director of the Serious Organised Crime Agency from 2005-2010.

398. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Mr Roberts was a Director and the Chief Executive of Catalyst, the UK distributor of bonds issued by ARM Asset Backed Securities SA (“ARM”), of which Mr Roberts was also a ... Director. Mr Wilkins was a Director of Catalyst until 23 March 2010, and

399. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

400. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye