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Showing 731 to 740 of 939 search results for enforcement.

731. 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

732. FCA bans and fines two individuals for pension advice failings

     Press Releases

     Published: 20/03/2015

     Last modified: 24/03/2020

     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

733. Former senior trader sentenced for insider dealing

     Press Releases

     Published: 19/03/2015

     Last modified: 05/04/2023

     In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

734. 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.

735. 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

     fitness and propriety (by firms as well as by regulators) and strengthened powers of approval and enforcement for the regulators.

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

737. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

     Press Releases

     Published: 13/03/2015

     Last modified: 13/03/2015

     Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:.

738. 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.

739. 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.

740. Former Group Treasurer and Head of Tax at Morrisons plc sentenced to 12 months imprisonment for insider dealing

     Press Releases

     Published: 03/03/2015

     Last modified: 05/04/2023

     Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment. He was also ordered to pay £15,000 towards prosecution costs