Showing 61 to 70 of 74 search results for proceedings in enforcement case.

61. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

    Press Releases Published: 11/08/2015 Last modified: 18/11/2021
    The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

62. Individual sentenced for role in operating unauthorised collective investment scheme

    Press Releases Published: 19/06/2015 Last modified: 19/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... Confiscation proceedings are being pursued against all defendants. In sentencing Mr Hawkins, His Honour Judge Leonard QC again

63. Eight convicted for role in unauthorised collective investment scheme

    Press Releases Published: 01/06/2015 Last modified: 04/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... now due to the convictions on 29 May 2015 of two other individuals, Adam Hawkins and Ricky Mitchie, in the same case.

64. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... In these proceedings, the FCA was represented by Sarah Clarke of Serjeant’s Inn Chambers and Tom Baker of QEB Hollis Whiteman.

65. Unauthorised Forex Investment Fraudster Convicted

    Press Releases Published: 09/01/2015 Last modified: 09/01/2015
    Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... Hope and Von Badlo will be sentenced on 16 January 2015 The FCA will instigate confiscation proceedings against both defendants.

66. Regulating high frequency trading

    Speeches Published: 04/06/2014 Last modified: 04/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

67. FCA confirms how it will use new power to publicise warning notices

    Press Releases Published: 15/10/2013 Last modified: 15/10/2013
    Previously, the regulator could only publish information about enforcement proceedings at a later stage in the enforcement process, once it had decided to take action. ... Director of enforcement, Tracey McDermott said:. "We listened carefully to views

68. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    Leslie and Bennett also stood to receive fines of £40,000 each, but they settled their cases at an early stage, entitling them to a 30 per cent discount under the ... Other enforcement proceedings connected to these matters are on-going. Bill Sillett,

69. FCA v former iSOFT directors

    Press Releases Published: 22/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not

70. High Court settlement paves the way for FCA to return money to investors in illegal land bank

    Press Releases Published: 21/06/2013 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has agreed a settlement of proceedings in the High Court which will enable it to return approximately £380,000 to investors in a land bank.