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Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Moving towards a sustainable model of regulation
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans Magnus Michael Peterson from the financial services industry
Mark Steward, Director of Enforcement and Market Oversight at the Financial Conduct Authority, said:. -
Chairman's speech to the Trust in Banking Conference
Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered -
FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer
Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward. -
FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function
Georgina Philippou, acting director of enforcement and market oversight at the FCA, said: “The FCA relies on senior directors such as Mr McNeil to let us know about significant risks in -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
Ofgem Enforcement Decision Panel and a member of the General Assembly of Manchester University. ... He had executive responsibility for Ofcom’s work on the economic regulation of the sectors overseen by Ofcom, encompassing both regulatory policy and -
Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins
Its findings in this regard mostly reflect the misconduct admitted by Mr Wilkins during the Enforcement process. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).