Showing 231 to 240 of 322 search results for will not take enforcement action.

231. Ryan Willmott sentenced to 10 months imprisonment for insider dealing

     Press Releases Published: 27/03/2015 Last modified: 05/04/2023
     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

232. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     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.

233. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

     Press Releases Published: 16/03/2015 Last modified: 16/03/2015
     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

234. Former chief executive of stockbroker firm fined £450,000 and banned

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... This significant fine and ban sends a strong message to those who run financial services firms,

235. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     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

236. Phillip Boakes sentenced following FCA prosecution

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     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

237. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

     Press Releases Published: 05/03/2015 Last modified: 30/08/2015
     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.

238. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     they think that is what their firm values (a topic I will come back to later). ... If you say you want something but your actions say something else, nothing will change.

239. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Consideration of confiscation and other financial orders will take place at a later date. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:.

240. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     Eligible customers will be contacted by AI Scheme Limited from late January 2015 onwards. ... No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.