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Showing 741 to 750 of 939 search results for enforcement.

741. Former Logica PLC Manager pleads guilty to insider dealing

     Press Releases

     Published: 26/02/2015

     Last modified: 05/04/2023

     In a case brought by the Financial Conduct Authority (FCA) Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has today pleaded guilty to three instances of insider dealing.

742. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

     Press Releases

     Published: 24/02/2015

     Last modified: 24/02/2015

     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:.

743. The regulatory challenge

     Speeches

     Published: 23/02/2015

     Last modified: 24/02/2015

     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... Yet, despite this, as our most recent thematic review in this area shows,

744. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases

     Published: 30/01/2015

     Last modified: 30/01/2015

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

745. Compensation package agreed for consumers sold card security products

     Press Releases

     Published: 27/01/2015

     Last modified: 28/01/2015

     No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.

746. The retrospective application of rules: feedback on the call for examples

     News stories

     Published: 22/01/2015

     Last modified: 19/11/2021

     We asked firms to provide examples of the retrospective application of regulatory rules

747. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases

     Published: 22/01/2015

     Last modified: 22/01/2015

     This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,

748. FCA fines Reckitt Benckiser £539,800 for listing rule failures

     Press Releases

     Published: 20/01/2015

     Last modified: 30/08/2015

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

749. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases

     Published: 20/01/2015

     Last modified: 24/11/2021

     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

750. Unauthorised Forex Investment Fraudster Convicted

     Press Releases

     Published: 09/01/2015

     Last modified: 09/01/2015

     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:.