Showing 281 to 290 of 443 search results for enforcement case.

281. Innovate Finance Global Summit

     Speeches Published: 11/04/2016 Last modified: 09/05/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

282. Consumer credit regulation: the journey so far

     Speeches Published: 08/04/2016 Last modified: 08/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Credit Summit 2016 on 7 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

283. The FCA’s Competition Powers

     Speeches Published: 23/03/2016 Last modified: 09/11/2016
     Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

284. Capital Alternatives: information for investors

     News stories Published: 18/03/2016 Last modified: 13/07/2021
     We are continuing our High Court claim for money to be returned to investors in the African Land and Capital Carbon Credits schemes. Find out more about this and what it means for investors.

285. 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:. ... Unfortunately, as is often the case with fraudulent unauthorised investment schemes, Mr Boakes spent much of the monies on a lavish lifestyle and unsuccessful

286. Former equities trader pleads guilty to insider dealing

     Press Releases Published: 15/03/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

287. UK FinTech: Regulating for innovation

     Speeches Published: 23/02/2016 Last modified: 23/02/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

288. FCA fines and restricts W H Ireland Limited for market abuse risks

     Press Releases Published: 23/02/2016 Last modified: 23/02/2016
     Mark Steward, director of enforcement and market oversight at the FCA, said: “We expect all firms to have the right controls in place to mitigate risks and protect their clients and ... In this case, WHI’s failings were aggravated by the failure to

289. £2.9 million to be returned to investors following FCA prosecution

     Press Releases Published: 12/02/2016 Last modified: 30/09/2016
     Mark Steward, the FCA’s Director of Enforcement and Market Oversight said:. ... As of today’s date, in those cases where time to pay has expired, all bar two have been satisfied in full, which equates to a collection rate of over 96%

290. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

     Press Releases Published: 09/02/2016 Last modified: 09/02/2016
     Mark Steward, Director of Enforcement and Market Oversight said: 'A failure to communicate openly with us can affect the well-running of markets and cause unnecessary harm to investors, especially in ... Although settlement in this case was reached