Showing 281 to 290 of 367 search results for director of enforcement and market oversight.

281. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

     Press Releases Published: 01/09/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

282. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

     Press Releases Published: 09/08/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

283. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Individuals with information about market abuse can visit the FCA’s market abuse webpage.

284. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... Mark Steward, Director of Enforcement and Market Oversight at the FCA said:.

285. Former equities trader at Schroders Investment Management sentenced for insider dealing

     Press Releases Published: 12/06/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.

286. FCA bans two individuals for lack of integrity

     Press Releases Published: 09/06/2016 Last modified: 09/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

287. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

288. FCA fines and bans financial adviser for insider dealing

     Press Releases Published: 13/05/2016 Last modified: 13/05/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

289. Insider dealers sentenced in Operation Tabernula trial

     Press Releases Published: 11/05/2016 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

290. Two convicted of insider dealing in Operation Tabernula trial

     Press Releases Published: 08/05/2016 Last modified: 05/04/2023
     In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.