Showing 291 to 300 of 452 search results for our enforcement.

291. Insider dealers sentenced in Operation Tabernula trial

     Press Releases Published: 11/05/2016 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

292. Financial Conduct Authority’s regulatory sandbox opens to applications

     Press Releases Published: 09/05/2016 Last modified: 09/05/2016
     do not easily fit into the existing regulatory framework and in some cases waivers or no enforcement action letters. ... Tracey McDermott, Acting Chief Executive at the FCA said:. 'Supporting innovation is an essential part of our role in promoting

293. Two convicted of insider dealing in Operation Tabernula trial

     Press Releases Published: 08/05/2016 Last modified: 05/04/2023
     In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

294. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

295. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     We have used our regulatory powers to ensure that consumers affected were fully refunded and that the firms did not take on any new business from May 2014. ... Where we become aware of potential criminal activity in markets that we regulate, including

296. FCA wins case in the Supreme Court

     Press Releases Published: 20/04/2016 Last modified: 23/11/2021
     In a judgment issued today, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme (CIS) in the course of operating a land bank which involved the selling of small plots of land to investors at

297. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

     Press Releases Published: 14/04/2016 Last modified: 04/11/2019
     The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

298. Innovate Finance Global Summit

     Speeches Published: 11/04/2016 Last modified: 09/05/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

299. Consumer credit regulation: the journey so far

     Speeches Published: 08/04/2016 Last modified: 08/04/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Credit Summit 2016 on 7 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

300. The FCA’s Competition Powers

     Speeches Published: 23/03/2016 Last modified: 09/11/2016
     Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.