Showing 31 to 34 of 34 search results for Enforcement and Market Oversight Division.

31. 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
    The FCA has also banned Mr Bell from performing the compliance oversight function. ... Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:.

32. FCA finds small firms need to manage financial crime risks more effectively

    Press Releases Published: 14/11/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

33. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

34. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).