Showing 321 to 330 of 443 search results for enforcement case.

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

     Press Releases Published: 22/04/2015 Last modified: 22/04/2015
     three most recent transaction reporting cases because past fines have not been high enough to achieve credible deterrence. ... Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a

322. 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:. ... FCA as grounds to prohibit him, in place of the FCA’s case concerning insurance fees.

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

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     sold to individual customers.A team within Clydesdale’s PPI complaint handling operation altered certain system print outs (in a small number of cases) to make it look as if Clydesdale ... Georgina Philippou, acting director of enforcement and market

324. 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

325. 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).

326. 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

327. 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.

328. Former chief executive of stockbroker firm fined £450,000 and banned

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

329. 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
     Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... Mr Bell agreed to settle the case at an early stage of the investigation and therefore qualified for a 30% discount.

330. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... So, in this case, the proposal was for a 0.8% initial cost cap per day, £15 default fee cap, and