Showing 21 to 30 of 34 search results for Enforcement and Market Oversight Division.

21. 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.

22. 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.

23. 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.

24. 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:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

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

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    deficient compliance oversight, including the absence of formal risk management framework for market abuse and inadequate post-trade surveillance systems, in which parameters did not match WHI’s specific business activities ... Mark Steward, director

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

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    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.

27. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

    Press Releases Published: 10/07/2015 Last modified: 24/04/2019
    The Financial Conduct Authority (FCA) has updated the criteria and outlined the process it uses when deciding whether to refer a firm or individual to its enforcement division for a formal ... Georgina Philippou, acting director of enforcement and market

28. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    The FCA also announced the details of three recent key Director appointments as Marc Teasdale was named Director of Market Oversight within the Enforcement and Market Oversight division, Jo Hill as ... Mark Steward’s role brings together the

29. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... One division at Deutsche Bank had a

30. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    trial. Georgina Philippou, Acting Director of the FCA’s Enforcement and Market Oversight Division, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.