Showing 251 to 260 of 364 search results for Director of Enforcement and Market Oversight.

251. Four guilty in relation to £1.4 million investment scheme

     Press Releases Published: 01/12/2017 Last modified: 01/12/2017
     In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment scheme which led to more than 300 investors losing a total of

252. FCA fines bond trader £60,000 for market abuse

     Press Releases Published: 22/11/2017 Last modified: 22/11/2017
     The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.

253. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches Published: 14/11/2017 Last modified: 15/11/2017
     Speaker: Julia Hoggett, Director of Market Oversight. Event: ‘Recent Developments in the Market Abuse Regime’ conference, London. ... As Mark Steward, FCA Director of Enforcement and Market Oversight, has said in recent speeches, and as the FCA has

254. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

255. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

256. FCA bans debt management couple for misappropriating client money

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

257. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

     Press Releases Published: 17/10/2017 Last modified: 17/10/2017
     The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 

258. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

259. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

260. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017