Showing 311 to 320 of 401 search results for enforcement and market oversight.

311. FCA bans two individuals for lack of integrity

     Press Releases Published: 09/06/2016 Last modified: 09/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

312. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

313. FCA fines and bans financial adviser for insider dealing

     Press Releases Published: 13/05/2016 Last modified: 13/05/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

314. 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.

315. 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.

316. 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

317. 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

318. 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.

319. 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:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

320. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

     Press Releases Published: 15/03/2016 Last modified: 15/03/2016
     Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.