Showing 531 to 540 of 776 search results for enforcement.

531. 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.

532. 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

533. FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs

     Press Releases Published: 21/09/2015 Last modified: 21/09/2015
     Ofgem Enforcement Decision Panel and a member of the General Assembly of Manchester University. ... He had executive responsibility for Ofcom’s work on the economic regulation of the sectors overseen by Ofcom, encompassing both regulatory policy and

534. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Wilkins during the Enforcement process.

535. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on

536. 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).

537. 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

538. 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

539. Megan Butler appointed Director of Supervision - Investment, Wholesale and Specialist

     Press Releases Published: 30/07/2015 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) today announced that Megan Butler will be joining the FCA on secondment from the Prudential Regulation Authority (PRA) to take the role of Director of Supervision – Investment, Wholesale and Specialist.

540. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

     Press Releases Published: 30/07/2015 Last modified: 30/07/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.