Showing 321 to 330 of 370 search results for executive director of enforcement.

321. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

322. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases Published: 23/04/2015 Last modified: 24/04/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... On 2 July 2012, the Chancellor of the

323. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

     Press Releases Published: 15/04/2015 Last modified: 15/04/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Chief executives were asked to confirm that their firms fully complied with the Rules.

324. 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.

325. Former chief executive of stockbroker firm fined £450,000 and banned

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     Former chief executive of stockbroker firm fined £450,000 and banned. Press Releases First published:. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

326. 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:. ... Aviva Investors agreed to settle at an early stage of the FCA’s investigation and therefore qualified for a 30% (Stage 1) discount under the FCA's executive

327. 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
     Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

328. FCA fines Reckitt Benckiser £539,800 for listing rule failures

     Press Releases Published: 20/01/2015 Last modified: 30/08/2015
     This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:.

329. 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

330. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... The day opened with an address from Martin Wheatley, Chief Executive and a keynote speech from Tracey McDermott, Director of Enforcement and Financial Crime,