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Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function. ... Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. -
Former chief executive of stockbroker firm fined £450,000 and banned
clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. -
Phillip Boakes sentenced following FCA prosecution
Georgina Philippou, acting director of enforcement and market oversight, said:. “Using fraud and forged documents, Boakes took in those who trusted him to invest their money. -
The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator
Georgina Philippou, acting director of enforcement and market oversight, commented:. “It is essential to consumer protection, market integrity and the prevention of financial crime that we can rely on firms giving -
Former Group Treasurer and Head of Tax at Morrisons plc sentenced to 12 months imprisonment for insider dealing
Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment. He was also ordered to pay £15,000 towards prosecution costs -
Former Logica PLC Manager pleads guilty to insider dealing
In a case brought by the Financial Conduct Authority (FCA) Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has today pleaded guilty to three instances of insider dealing. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. -
The regulatory challenge
Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... Yet, despite this, as our most recent thematic review in this area shows, -
Alex Hope and Raj Von Badlo sentenced following FCA prosecution
Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:.