Showing 301 to 310 of 367 search results for director of enforcement and market oversight.

301. Money returned to investors with Anderson, Peacock and Pruthi

     News stories Published: 27/11/2015 Last modified: 12/04/2024
     The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi.

302. FCA fines Barclays £72 million for poor handling of financial crime risks

     Press Releases Published: 26/11/2015 Last modified: 26/11/2015
     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.

303. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

     Statements Published: 24/11/2015 Last modified: 24/11/2015
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... Mr Boakes lost almost £1m of the £2.1m he traded. The FCA has an overarching strategic objective of ensuring the relevant markets function well.

304. Culture and governance

     Speeches Published: 11/11/2015 Last modified: 24/11/2015
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

305. FCA bans Magnus Michael Peterson from the financial services industry

     Press Releases Published: 26/10/2015 Last modified: 21/11/2016
     Mark Steward, Director of Enforcement and Market Oversight at the Financial Conduct Authority, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

306. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward.

307. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

     Press Releases Published: 22/09/2015 Last modified: 14/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said: “The FCA relies on senior directors such as Mr McNeil to let us know about significant risks in ... The FCA has an overarching strategic objective of ensuring the

308. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

309. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

310. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that