Showing 111 to 120 of 185 search results for enforcement powers.

111. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

112. Former equities trader at Schroders Investment Management sentenced for insider dealing

     Press Releases Published: 12/06/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.

113. FCA Research into the issue of de-risking

     News stories Published: 24/05/2016 Last modified: 24/05/2016
     Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by regulators and prosecutors. ... In doing this we will continue to work with the Government, law

114. 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.

115. 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.

116. Tackling the hard questions

     Speeches Published: 28/04/2016 Last modified: 18/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

117. 15 month suspended sentence for director of debt management firm

     News stories Published: 28/04/2016 Last modified: 28/04/2016
     We have used our regulatory powers to ensure that consumers affected were fully refunded and that the firms did not take on any new business from May 2014. ... Where we become aware of potential criminal activity in markets that we regulate, including

118. Innovate Finance Global Summit

     Speeches Published: 11/04/2016 Last modified: 09/05/2016
     Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

119. 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.

120. Former equities trader pleads guilty to insider dealing

     Press Releases Published: 15/03/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.