Showing 551 to 560 of 776 search results for enforcement.

551. Former director banned from conducting regulated activity

     Statements Published: 09/06/2015 Last modified: 09/06/2015
     Georgina Philippou, acting director of enforcement and market oversight said:. "Mr Allen failed to act with honesty and integrity.

552. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

     Press Releases Published: 05/06/2015 Last modified: 08/11/2016
     FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mark Steward is currently a member of the Hong Kong Securities and Futures Commission (SFC) and is an Executive Director with responsibility for the Enforcement

553. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

     Press Releases Published: 05/06/2015 Last modified: 05/06/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Executive Committee and for some other senior executives as a result of the FCA’s Enforcement investigation.

554. Eight convicted for role in unauthorised collective investment scheme

     Press Releases Published: 01/06/2015 Last modified: 04/06/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA was assisted in the investigation and prosecution by a number of other law enforcement and government agencies, including the

555. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

556. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

557. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

     Press Releases Published: 20/05/2015 Last modified: 22/05/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.

558. FCA fines Barclays £284,432,000 for forex failings

     Press Releases Published: 19/05/2015 Last modified: 17/11/2021
     The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

559. Pardip Saini Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 28/04/2015 Last modified: 23/11/2021
     Today, Pardip Saini was sentenced to 528 days imprisonment for failing to pay a Confiscation Order made against him.

560. Moorhouse fined for failures in relation to its telephone sales

     Press Releases Published: 23/04/2015 Last modified: 23/04/2015
     SMEs. Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.