Showing 181 to 190 of 263 search results for enforcement action against firms.

181. Tribunal directs Financial Conduct Authority to ban former insurance broker

     Press Releases Published: 16/04/2015 Last modified: 16/04/2015
     trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... We have taken action against Mr Allen because, as the Tribunal’s findings have made clear, he failed to demonstrate the standards of

182. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside

183. FCA bans and fines two individuals for pension advice failings

     Press Releases Published: 20/03/2015 Last modified: 24/03/2020
     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

184. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

185. 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
     The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... Georgina Philippou, the FCA’s acting director of

186. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     Nor room to assess firms against principles. Whereas the FCA has much greater flexibility of operation and policy. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching the cap.

187. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Yet, despite this, as our most recent thematic review in this area shows, alongside a number of enforcement cases here and overseas, firms are still getting this wrong when it comes ... To do that successfully requires firms to use their judgement and

188. 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.

189. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     If the Scheme is approved by voters, all eligible customers, even those who voted against it, will still be able to submit a claim for compensation. ... No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.

190. 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). ... Both are also banned from performing significant influence functions at financial