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Showing 202 to 211 of 325 search results for enforcement investigations.
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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. -
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
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 ... Mr McNeil agreed to settle at an early stage of the FCA’s -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
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 -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
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). -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
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 -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR misconduct. ... Georgina Philippou, acting director of enforcement and market oversight -
The Financial Conduct Authority publishes new referral criteria for enforcement investigations
investigation. Where misconduct is proved, an enforcement investigation can lead to fines, bans and suspensions. ... Is an enforcement investigation likely to further the FCA’s aims and statutory objectives? -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
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. -
Individual sentenced for role in operating unauthorised collective investment scheme
All of the convictions are part of Operation Cotton, one of the Financial Conduct Authority’s (FCA) largest investigations and prosecutions. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, -
Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules
Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor ... ARM agreed to settle at an early -
Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Executive Committee and for some other senior executives as a result of the FCA’s Enforcement investigation.