Showing 341 to 350 of 370 search results for executive director of enforcement.

341. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

342. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 28/06/2024
     Speech by Clive Adamson, director of supervision, at the General Insurance conference, London.

343. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... £105 million. On 2 July 2012, the Chancellor of the Exchequer

344. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

345. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

346. FCA bans former CIB Partners Limited CEO Arnold Eber

     Press Releases Published: 27/02/2014 Last modified: 27/02/2014
     The Financial Conduct Authority (FCA) has banned Arnold Eber, the former Chief Executive Officer of CIB Partners Limited (CIB), from performing any function in relation to any regulated activity in the ... He also failed to inform the FCA of these

347. HomeServe fined £30 million for widespread failings

     Press Releases Published: 13/02/2014 Last modified: 13/02/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said. ... This customer contact exercise is on-going. HomeServe agreed to settle at an early stage of the investigation and therefore qualified for a 30% discount under the

348. FCA bans former BGC senior executive Anthony Verrier

     Press Releases Published: 29/01/2014 Last modified: 30/06/2014
     The Financial Conduct Authority (FCA) has banned Anthony Verrier (a former senior executive at BGC) from performing any function in relation to any regulated activity in the financial services industry. ... Tracey McDermott, the FCA's director of

349. FCA Board appoints three new members to the Regulatory Decisions Committee

     News stories Published: 14/01/2014 Last modified: 29/11/2016
     Since her retirement in 2004, Dame Elizabeth has held a number of public positions, including: independent complaints assessor for the Department for Transport; non-executive director at the Serious Fraud Office; ... She is also a non-executive member of

350. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... Chief executives were asked to confirm that their firms fully complied