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Showing 1 to 5 of 5 search results for upholds FCA ban and significant fine on insurance broker.

1. Fines

   Table of fines with links to further information.

2. Tribunal upholds FCA ban and significant fine on insurance broker

   Press Releases Published: 28/06/2013 Last modified: 17/09/2013
   The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

3. The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins

   Press Releases Published: 07/10/2013 Last modified: 07/02/2022
   FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst).

4. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

   Press Releases Published: 08/08/2013 Last modified: 17/09/2013
   The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

5. Financial services regulation and enforcement: recent developments and emerging issues

   Speeches Published: 09/10/2013 Last modified: 10/10/2013
   Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.