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Showing 41 to 50 of 74 search results for proceedings in enforcement case.
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Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
MiFID II and the fight against financial crime
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
FCA wins case against Capital Alternatives Limited and others
The High Court found that Capital Alternatives Limited, Renwick Haddow, Marcia Hargous, Robert McKendrick and others should pay a total of £16.9m in restitution for their roles in four unauthorised collective investment schemes which were -
Samrat Bhandari sentenced in FCA prosecution of £1.4 million investment scheme
Samrat Bhandari, who played a prime role in the operation of an investment scheme which led to investors losing just over £1.4 million, was today sentenced at Southwark Crown Court to a total of 3½ years’ imprisonment. He was also disqualified -
Defendants sentenced in FCA prosecution of £1.4 million investment scheme
Samrat Bhandari, Dr Muhammad Aleem Mirza, Michael Moore and Paul Moore, each of whom played a role in the operation of an investment scheme which led to investors losing just over £1.4 million, today appeared at Southwark Crown Court to be sentenced -
FCA fines and bans wife and bans husband financial advisor for lack of integrity
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 -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.