Showing 491 to 500 of 776 search results for enforcement.

491. Insider dealers sentenced in Operation Tabernula trial

     Press Releases Published: 11/05/2016 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

492. Financial Conduct Authority’s regulatory sandbox opens to applications

     Press Releases Published: 09/05/2016 Last modified: 09/05/2016
     do not easily fit into the existing regulatory framework and in some cases waivers or no enforcement action letters.

493. Two convicted of insider dealing in Operation Tabernula trial

     Press Releases Published: 08/05/2016 Last modified: 05/04/2023
     In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

494. 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

495. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     Where we become aware of potential criminal activity in markets that we regulate, including debt management, we will work with the relevant law enforcement agencies as well as making appropriate use

496. 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

497. 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.

498. Tracey McDermott to leave the FCA

     Statements Published: 13/04/2016 Last modified: 13/04/2016
     Tracey McDermott, Acting Chief Executive of the Financial Conduct Authority (FCA) has today announced that she is to leave the organisation on 1 July 2016.

499. 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:.

500. Innovate Finance Global Summit

     Speeches Published: 11/04/2016 Last modified: 09/05/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.