Showing 291 to 300 of 367 search results for director of enforcement and market oversight.

291. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

292. FCA wins case in the Supreme Court

     Press Releases Published: 20/04/2016 Last modified: 23/11/2021
     In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at

293. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

     Press Releases Published: 14/04/2016 Last modified: 04/11/2019
     The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

294. FCA bans former RBS LIBOR submitter, Paul White

     Press Releases Published: 12/04/2016 Last modified: 12/04/2016
     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.

295. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 15/03/2016 Last modified: 15/03/2016
     Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

296. Former equities trader pleads guilty to insider dealing

     Press Releases Published: 15/03/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

297. FCA fines and restricts W H Ireland Limited for market abuse risks

     Press Releases Published: 23/02/2016 Last modified: 23/02/2016
     deficient compliance oversight, including the absence of formal risk management framework for market abuse and inadequate post-trade surveillance systems, in which parameters did not match WHI’s specific business activities ... Mark Steward, director

298. £2.9 million to be returned to investors following FCA prosecution

     Press Releases Published: 12/02/2016 Last modified: 30/09/2016
     Mark Steward, the FCA’s Director of Enforcement and Market Oversight said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

299. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

     Press Releases Published: 09/02/2016 Last modified: 09/02/2016
     Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in ... The FCA has an overarching strategic objective of

300. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.