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Showing 341 to 350 of 367 search results for director of enforcement and market oversight.
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Alex Hope and Raj Von Badlo sentenced following FCA prosecution
Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR
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. -
FCA fines Reckitt Benckiser £539,800 for listing rule failures
Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
Unauthorised Forex Investment Fraudster Convicted
Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor
Georgina Philippou, acting FCA director of Enforcement & Market Oversight said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk. -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears
YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.