Showing 31 to 40 of 64 search results for Enforcement Division.

31. Insider dealers sentenced in Operation Tabernula trial

    Press Releases Published: 11/05/2016 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

32. Two convicted of insider dealing in Operation Tabernula trial

    Press Releases Published: 08/05/2016 Last modified: 05/04/2023
    In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

33. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

    Press Releases Published: 14/04/2016 Last modified: 04/11/2019
    The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

34. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

35. Phillip Boakes Sentenced for Failing to Pay Confiscation Order

    Press Releases Published: 15/03/2016 Last modified: 15/03/2016
    Commenting on the case, Mark Steward, Director of Enforcement and Market Oversight, said:. ... Division on 23 November 2015.

36. FCA Statement on fair treatment of long-standing customers in the life insurance sector

    Statements Published: 03/03/2016 Last modified: 03/03/2016
    The FCA has concluded that the best way to explore these issues further is for that work to be undertaken by our enforcement division using our investigation powers under FSMA.

37. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    The firm is also restricted for a period of 72 days from taking on new clients in its corporate broking division. ... Mark Steward, director of enforcement and market oversight at the FCA, said: “We expect all firms to have the right controls in place

38. Moving towards a sustainable model of regulation

    Speeches Published: 03/11/2015 Last modified: 03/11/2015
    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.

39. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward. ... Georgina was director of strategy and delivery in the Enforcement and Financial Crime Division, focusing on internal and external stakeholder

40. Megan Butler appointed Director of Supervision - Investment, Wholesale and Specialist

    Press Releases Published: 30/07/2015 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) today announced that Megan Butler will be joining the FCA on secondment from the Prudential Regulation Authority (PRA) to take the role of Director of Supervision – Investment, Wholesale and Specialist.