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Showing 361 to 367 of 367 search results for director of enforcement and market oversight.
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The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
SEI failed to train employees with operational oversight and responsibility for client money. ... Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls
The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.