Showing 261 to 270 of 272 search results for executive director of enforcement and market oversight.

261. 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
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

262. 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:.

263. 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

264. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

265. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

266. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote market integrity. ... On 2 July 2012, the Chancellor of the Exchequer commissioned Martin

267. 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.

268. 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.

269. 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

270. 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.