Showing 301 to 310 of 370 search results for executive director of enforcement.

301. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

302. 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
     The FCA found that Mr Breeze, who holds several directorships of private companies and is also a Non-Executive Director of one AIM listed business, attempted to sell his entire 8% ... Mark Steward, Director of Enforcement and Market Oversight at the FCA

303. 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
     FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... Mark Steward, Director of Enforcement and Market Oversight at the FCA said:.

304. Megan Butler appointed permanent Director of Supervision – Investment, Wholesale and Specialists

     Press Releases Published: 27/05/2016 Last modified: 27/05/2016
     Megan had previously been in the role on secondment from the Prudential Regulation Authority (PRA) where she was Executive Director of International Banks Directorate. ... Megan was previously the Executive Director of International Banks Directorate at

305. 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.

306. 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.

307. Tracey McDermott to leave the FCA

     Statements Published: 13/04/2016 Last modified: 13/04/2016
     Tracey McDermott, Acting Chief Executive of the Financial Conduct Authority (FCA) has today announced that she is to leave the organisation on 1 July 2016.

308. 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:. ... This is the FCA’s fourth public action against a trader for manipulating LIBOR submissions, and follows fines and bans in early 2015 for senior executives for LIBOR

309. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

310. Personal accountability

     Speeches Published: 02/12/2015 Last modified: 19/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ