Showing 301 to 310 of 443 search results for enforcement case.

301. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

     Press Releases Published: 22/09/2015 Last modified: 14/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said: “The FCA relies on senior directors such as Mr McNeil to let us know about significant risks in ... These cases have been referred to the Upper Tribunal. From 26

302. FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs

     Press Releases Published: 21/09/2015 Last modified: 21/09/2015
     Ofgem Enforcement Decision Panel and a member of the General Assembly of Manchester University. ... He had executive responsibility for Ofcom’s work on the economic regulation of the sectors overseen by Ofcom, encompassing both regulatory policy and

303. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

     Press Releases Published: 13/08/2015 Last modified: 24/03/2020
     Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

304. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

305. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

306. Accountability, from debate to reality

     Speeches Published: 14/07/2015 Last modified: 19/04/2016
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

307. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     It will help interpret rules through the production of materials like case studies.

308. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     What purpose or goal would be served if the FCA were to take enforcement action in this case? ... On 24 April 2019, the FCA's enforcement referral criteria was replaced with theThe criteria published today do not apply to Competition Act 1998 (CA98) cases

309. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

     Speeches Published: 25/06/2015 Last modified: 25/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

310. Individual sentenced for role in operating unauthorised collective investment scheme

     Press Releases Published: 19/06/2015 Last modified: 19/06/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.