Showing 351 to 360 of 370 search results for executive director of enforcement.

351. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

     Press Releases Published: 29/10/2013 Last modified: 29/10/2013
     Tracey McDermott, the FCA’s director of enforcement and financial crime said:. ... On 2 July 2012, the Chancellor of the Exchequer commissioned Martin Wheatley, chief executive of the FCA (formerly managing director of the FSA), to undertake a review

352. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... On 2 July 2012, the Chancellor of the Exchequer commissioned Martin Wheatley,

353. AXA fined and reviews investment sales for advice failings

     Press Releases Published: 13/09/2013 Last modified: 25/11/2021
     The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

354. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

     Press Releases Published: 03/09/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

355. FCA Board appoints new members to the Regulatory Decisions Committee

     News stories Published: 21/08/2013 Last modified: 21/08/2013
     He holds a number of Non-Executive Director (NED) roles including membership of the Supervisory Boards of Deutsche Börse AG & Eurex Frankfurt AG. ... John Callender, a former Commercial Director at Barclays Bank Plc UK Banking, he has various NED

356. Financial Conduct Authority appoints four new supervision directors

     Press Releases Published: 07/08/2013 Last modified: 09/12/2016
     The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

357. FCA v former iSOFT directors

     Press Releases Published: 22/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

358. FCA fines US based oil trader US $903K for market manipulation

     Press Releases Published: 22/07/2013 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

359. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

360. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

     Press Releases Published: 16/07/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to