Showing 381 to 390 of 512 search results for enforcement action.

381. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... This action shows that a compliance director of a network has an important role in terms of ensuring that systems and controls across the network are

382. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching

383. Phillip Boakes sentenced following FCA prosecution

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “Using fraud and forged documents, Boakes took in those who trusted him to invest their money. ... We will not hesitate to take the strongest action to ensure that

384. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

     Press Releases Published: 05/03/2015 Last modified: 30/08/2015
     Bank of Beirut was required to take a number of actions to address these concerns. ... Wills and Allin were responsible for addressing a number of the actions required of the firm.

385. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

     Press Releases Published: 24/02/2015 Last modified: 24/02/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings were exceptional.

386. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... If you say you want something but your actions say something else, nothing

387. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... Over 75 investors gave £4.29 million to Hope as a result of Von Badlo’s actions.

388. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.

389. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

390. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases Published: 22/01/2015 Last modified: 22/01/2015
     This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,