Showing 351 to 360 of 401 search results for enforcement and market oversight.

351. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     Georgina Philippou, FCA acting director of enforcement and market oversight, said:. ... Accurate and timely reporting of transactions is crucial for us to perform effective surveillance for insider trading and market manipulation in support of our

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

353. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

     Press Releases Published: 15/04/2015 Last modified: 15/04/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... As a result of this, the Firms are systemically important to the UK market.

354. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant markets function well.

355. 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:. ... The FCA has a statutory objective to ensure markets work well and to promote market integrity.

356. Ryan Willmott sentenced to 10 months imprisonment for insider dealing

     Press Releases Published: 27/03/2015 Last modified: 05/04/2023
     Ryan Willmott, the former group reporting and financial planning manager for Logica PLC, who pleaded guilty to three counts of insider dealing on 26 February 2015, has today been sentenced to 10 months imprisonment. He was also ordered to pay

357. 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).

358. Former senior trader sentenced for insider dealing

     Press Releases Published: 19/03/2015 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

359. 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.

360. 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 has also banned Mr Bell from performing the compliance oversight function. ... Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:.