Showing 531 to 540 of 586 search results for director of enforcement.

531. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

     Press Releases Published: 03/09/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

532. FCA Board appoints new members to the Regulatory Decisions Committee

     News stories Published: 21/08/2013 Last modified: 21/08/2013
     He holds a number of Non-Executive Director (NED) roles including membership of the Supervisory Boards of Deutsche Börse AG & Eurex Frankfurt AG. ... John Callender, a former Commercial Director at Barclays Bank Plc UK Banking, he has various NED

533. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

     Press Releases Published: 09/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

534. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

535. Financial Conduct Authority appoints four new supervision directors

     Press Releases Published: 07/08/2013 Last modified: 09/12/2016
     The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

536. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

     Press Releases Published: 24/07/2013 Last modified: 17/09/2013
     The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

537. FCA v former iSOFT directors

     Press Releases Published: 22/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

538. FCA fines US based oil trader US $903K for market manipulation

     Press Releases Published: 22/07/2013 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

539. FCA bans and fines former insurance broker £140,000

     Press Releases Published: 19/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

540. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.