Showing 151 to 160 of 267 search results for enforcement case against.

151. Culture and conduct - extending the accountability regime

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

152. Overview of competition at the FCA

     Speeches Published: 03/08/2017 Last modified: 03/08/2017
     Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

153. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

154. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

155. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     Under this analysis, there is a case for revisiting the CAT standards set by the UK government in the early years of this century. ... But firms lobbied against the rule.It was withdrawn, and sales fell sharply.

156. 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.

157. 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

158. 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

159. 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.

160. 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.