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Showing 711 to 720 of 939 search results for enforcement.

711. Individual sentenced for role in operating unauthorised collective investment scheme

     Press Releases

     Published: 19/06/2015

     Last modified: 19/06/2015

     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.

712. New priorities for banking reform

     Speeches

     Published: 17/06/2015

     Last modified: 17/06/2015

     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

713. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

     Press Releases

     Published: 17/06/2015

     Last modified: 17/06/2015

     Georgina Philippou, acting director of enforcement and market oversight, said:. “The UK listing regime provides confidence to investors that listed companies adhere to a range of standards on governance and investor

714. Fair and Effective Markets Review published

     News stories

     Published: 10/06/2015

     Last modified: 04/11/2019

     The Fair and Effective Markets Review (FEMR) was a comprehensive and forward-looking assessment of the way fixed income, currency and commodity (FICC) markets operate.

715. Former director banned from conducting regulated activity

     Statements

     Published: 09/06/2015

     Last modified: 09/06/2015

     Georgina Philippou, acting director of enforcement and market oversight said:. "Mr Allen failed to act with honesty and integrity.

716. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

     Press Releases

     Published: 05/06/2015

     Last modified: 08/11/2016

     FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mark Steward is currently a member of the Hong Kong Securities and Futures Commission (SFC) and is an Executive Director with responsibility for the Enforcement

717. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

     Press Releases

     Published: 05/06/2015

     Last modified: 05/06/2015

     Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Executive Committee and for some other senior executives as a result of the FCA’s Enforcement investigation.

718. Eight convicted for role in unauthorised collective investment scheme

     Press Releases

     Published: 01/06/2015

     Last modified: 04/06/2015

     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA was assisted in the investigation and prosecution by a number of other law enforcement and government agencies, including the

719. Debating trust and confidence in banking

     Speeches

     Published: 28/05/2015

     Last modified: 28/05/2015

     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

720. Overview of the FCA prudential approach

     Speeches

     Published: 20/05/2015

     Last modified: 25/10/2024

     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum.