Showing 411 to 420 of 586 search results for director of enforcement.

411. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

     Press Releases Published: 17/06/2015 Last modified: 17/06/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... protection. The related party

412. Former director banned from conducting regulated activity

     Statements Published: 09/06/2015 Last modified: 09/06/2015
     Former director banned from conducting regulated activity. Statements First published:. 09/06/2015. ... Georgina Philippou, acting director of enforcement and market oversight said:. "Mr Allen failed to act with honesty and integrity.

413. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

     Press Releases Published: 05/06/2015 Last modified: 08/11/2016
     FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Before joining the SFC, Mr Steward held several senior positions with the Australian Securities and Investments Commission (ASIC) and was most recently Deputy

414. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

     Press Releases Published: 05/06/2015 Last modified: 05/06/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Executive Committee and for some other senior executives as a result of the FCA’s Enforcement investigation.

415. Eight convicted for role in unauthorised collective investment scheme

     Press Releases Published: 01/06/2015 Last modified: 04/06/2015
     Mr Crawley and Mr Daley had already been disqualified as directors following action taken by the Insolvency Service. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

416. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

417. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

418. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

     Press Releases Published: 20/05/2015 Last modified: 22/05/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

419. FCA fines Barclays £284,432,000 for forex failings

     Press Releases Published: 19/05/2015 Last modified: 17/11/2021
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

420. Pardip Saini Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 28/04/2015 Last modified: 23/11/2021
     Today, Pardip Saini was sentenced to 528 days imprisonment for failing to pay a Confiscation Order made against him.