Showing 251 to 260 of 443 search results for enforcement case.

251. What makes good conduct regulation?

     Speeches Published: 14/02/2017 Last modified: 14/02/2017
     Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

252. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases Published: 01/02/2017 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

253. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

254. Two sentenced in insider dealing case

     Press Releases Published: 13/01/2017 Last modified: 13/01/2017
     In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also

255. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

256. Creating and sustaining cultures of compliance: insights from psychology and beyond

     Insight Published: 16/12/2016 Last modified: 17/02/2017
     The salience of the individual’s decisions is heightened. Changing communications about enforcement can also help. ... In some notable cases, like that of PPI mis-selling, misconduct is even incentivised.

257. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

258. Two plead guilty to insider dealing

     Press Releases Published: 30/11/2016 Last modified: 30/11/2016
     In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017

259. Effectiveness of the AML regime in disrupting financial crime

     Speeches Published: 10/11/2016 Last modified: 06/12/2016
     Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

260. Effectiveness and proportionality: our financial crime priorities

     Speeches Published: 10/11/2016 Last modified: 05/12/2016
     Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.