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Showing 331 to 340 of 367 search results for director of enforcement and market oversight.
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FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Former senior trader sentenced for insider dealing
In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months -
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
Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... PRA).The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
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 FCA has an overarching strategic objective of ensuring the relevant -
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 ... The FCA has an overarching -
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 FCA has an overarching strategic objective of ensuring the relevant markets function well.