Showing 182 to 191 of 325 search results for enforcement investigations.

182. Should you invest?

     Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

183. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Mr Breeze made admissions in interview and proactively cooperated with the FCA’s investigation, for which he received a discount of 15%.

184. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     Towergate agreed to settle at an early stage of the Authority’s investigation. ... Mr Philip agreed to settle at an early stage of the Authority’s investigation.

185. FCA bans two individuals for lack of integrity

     Press Releases Published: 09/06/2016 Last modified: 09/06/2016
     While further investigations continue, the FCA considers it necessary to prohibit them to help protect consumers.”. ... The FCA understands that further investigations are continuing. On 1 April 2013 the FCA became responsible for the conduct

186. FCA fines CT Capital Ltd for failures related to PPI complaint handling

     Press Releases Published: 01/06/2016 Last modified: 01/06/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... CT Capital agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 20% (stage 2) discount.

187. FCA fines and bans financial adviser for insider dealing

     Press Releases Published: 13/05/2016 Last modified: 13/05/2016
     Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... Mr Taylor provided full admissions to the FCA in an early interview and agreed to settle at an early stage of the FCA’s investigation.

188. Insider dealers sentenced in Operation Tabernula trial

     Press Releases Published: 11/05/2016 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

189. Two convicted of insider dealing in Operation Tabernula trial

     Press Releases Published: 08/05/2016 Last modified: 05/04/2023
     In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

190. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

191. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     The case was brought by South Wales Police following its own investigation, and with the cooperation and assistance of the FCA. ... Where we become aware of potential criminal activity in markets that we regulate, including debt management, we will work

192. FCA bans former RBS LIBOR submitter, Paul White

     Press Releases Published: 12/04/2016 Last modified: 12/04/2016
     Mark Steward, director of enforcement and market oversight at the FCA said:. ... External Broker: "nice, much appreciated.". The FCA issued Mr White with a Warning Notice on 18 June 2014, but proceedings were stayed due to the ongoing criminal