Showing 201 to 210 of 267 search results for enforcement case against.

201. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... This case shows that the FCA will vigorously protect consumers from those who break the law and do whatever it can to get their money back to them.

202. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

203. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases Published: 22/01/2015 Last modified: 22/01/2015
     This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,

204. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases Published: 20/01/2015 Last modified: 24/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

205. Unauthorised Forex Investment Fraudster Convicted

     Press Releases Published: 09/01/2015 Last modified: 09/01/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... Hope and Von Badlo will be sentenced on 16 January 2015 The FCA will instigate confiscation proceedings against both defendants.

206. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     That this is not simply a case of a few rogues spoiling it for the majority. ... We expect them to account for the decisions they make, and as the recent case against former Swinton executives made clear, to take responsibility, for the culture they

207. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     It will always be the case that enforcement is a key FCA tool. ... But of course, enforcement requires the prospect of rehabilitation in order to move things forward.

208. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

209. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

210. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.