Showing 222 to 231 of 325 search results for enforcement investigations.

222. 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.

223. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Carver’s fine level has been reduced due to his significant cooperation with the FCA investigation.”.

224. 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).

225. 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

226. 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.

227. 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.

228. Phillip Boakes sentenced following FCA prosecution

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     The Judge also remarked on Boakes’ attempts to stop investors from assisting the FCA’s investigation. ... Georgina Philippou, acting director of enforcement and market oversight, said:. “Using fraud and forged documents, Boakes took in those who

229. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

     Press Releases Published: 05/03/2015 Last modified: 30/08/2015
     Georgina Philippou, acting director of enforcement and market oversight, commented:. “It is essential to consumer protection, market integrity and the prevention of financial crime that we can rely on firms giving ... Bank of Beirut settled with the

230. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

     Press Releases Published: 24/02/2015 Last modified: 24/02/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... The level of co-operation during the investigation and commitment to ensuring no customers were adversely impacted meant it qualified for a substantial

231. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     The FCA has not conducted a formal investigation in this matter. ... No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.

232. 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,