Showing 161 to 170 of 412 search results for supervision and enforcement.

161. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     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

162. Challenges for the regulator - consumer credit, long-term savings and an ageing population

     Speeches Published: 04/10/2017 Last modified: 04/10/2017
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

163. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

164. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

165. Culture and conduct - extending the accountability regime

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

166. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

     Press Releases Published: 09/08/2017 Last modified: 09/08/2017
     On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

167. FCA secures £350,000 confiscation order against convicted insider dealer

     Press Releases Published: 24/07/2017 Last modified: 24/07/2017
     Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3

168. FCA fines compliance oversight officer for pension transfer failings

     Press Releases Published: 14/07/2017 Last modified: 14/07/2017
     The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

169. FCA publishes annual report and accounts 2016/17

     Press Releases Published: 05/07/2017 Last modified: 11/04/2024
     The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17.

170. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.