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Showing 1501 to 1510 of 1588 search results.

1501. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

      Press Releases

      Published: 08/08/2013

      Last modified: 17/09/2013

      The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

1502. Financial Conduct Authority appoints four new supervision directors

      Press Releases

      Published: 07/08/2013

      Last modified: 09/12/2016

      The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

1503. Andy Briscoe appointed chairman of Money Advice Service

      Press Releases

      Published: 01/08/2013

      Last modified: 01/08/2013

      Former Life Trust Holdings CEO Andy Briscoe has been appointed chair of the Money Advice Service.

1504. Four arrested in FCA insider dealing investigation

      Press Releases

      Published: 30/07/2013

      Last modified: 05/04/2023

      The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

1505. Retail Distribution Review six months in – how firms are implementing the RDR

      Press Releases

      Published: 25/07/2013

      Last modified: 09/02/2017

      The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation.

1506. Ensuring markets work well for consumers and for firms – FCA publishes guidance on its approach to objectives

      Press Releases

      Published: 24/07/2013

      Last modified: 16/08/2013

      The Financial Conduct Authority’s (FCA) mandate to ensure there is effective competition in financial services markets represents the most significant change to the new regulatory regime, said Chief Executive Martin Wheatley today.

1507. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

      Press Releases

      Published: 24/07/2013

      Last modified: 17/09/2013

      The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

1508. FCA v former iSOFT directors

      Press Releases

      Published: 22/07/2013

      Last modified: 17/09/2013

      The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

1509. FCA fines US based oil trader US $903K for market manipulation

      Press Releases

      Published: 22/07/2013

      Last modified: 23/11/2021

      The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

1510. FCA bans and fines former insurance broker £140,000

      Press Releases

      Published: 19/07/2013

      Last modified: 17/09/2013

      The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.