Showing 101 to 110 of 158 search results for law enforcement.

101. Four guilty in relation to £1.4 million investment scheme

     Press Releases Published: 01/12/2017 Last modified: 01/12/2017
     In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment scheme which led to more than 300 investors losing a total of

102. FCA issues first statement of objections to four asset management firms

     Press Releases Published: 29/11/2017 Last modified: 29/11/2017
     The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

103. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches Published: 14/11/2017 Last modified: 15/11/2017
     the interplay of the full spectrum of laws, rules and guidance aimed at tackling market abuse in our market, including but not limited to MAR. ... Whilst one of the most visible indicators of that focus is our enforcement action, the simple reality is

104. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

105. Andrew Bailey speech on Free Trade in Financial Services matters

     Speeches Published: 29/09/2017 Last modified: 29/09/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

106. Overview of competition at the FCA

     Speeches Published: 03/08/2017 Last modified: 03/08/2017
     Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

107. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

108. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     Let’s assume that I also fit into this group.It’s a defensible proposition.I have qualifications and experience in accounting, taxation, finance, law and economics.When I consider consumers’ ... Perhaps then we should not be surprised that

109. What makes good conduct regulation?

     Speeches Published: 14/02/2017 Last modified: 14/02/2017
     Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

110. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.