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Ryan Willmott sentenced to 10 months imprisonment for insider dealing
Ryan Willmott, the former group reporting and financial planning manager for Logica PLC, who pleaded guilty to three counts of insider dealing on 26 February 2015, has today been sentenced to 10 months imprisonment. He was also ordered to pay -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for their actions and make it easier for ... The FCA expects all firms who deal -
Former chief executive of stockbroker firm fined £450,000 and banned
clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... The Principal takes full responsibility for ensuring that the AR complies with our rules. -
Consumer Credit and the FCA: one year on
And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... And there may also be less motivation to take avoidance action because they feel less financially -
Phillip Boakes sentenced following FCA prosecution
Georgina Philippou, acting director of enforcement and market oversight, said:. “Using fraud and forged documents, Boakes took in those who trusted him to invest their money. ... We will not hesitate to take the strongest action to ensure that -
The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator
Bank of Beirut was required to take a number of actions to address these concerns. ... Wills and Allin were responsible for addressing a number of the actions required of the firm. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings were exceptional.