Search ResultsShowing 1 - 10 of 20 results for "Mark Steward"
Standard Life Assurance fined for hawking non-advised annuities
KARREN VERGARA  |  WEDNESDAY, 24 JUL 2019
... Phoenix Group, is due to complete by the end of 2019. FCA executive director of enforcement and market oversight Mark Steward said SLA's controls needed to place fairness to customers at their heart. "Here, the financial incentives available to ...
Crypto scams bite UK
HARRISON WORLEY  |  TUESDAY, 21 MAY 2019
... services firms must be authorised by the FCA. FCA executive director of enforcement and market oversight, Mark Steward, said it was important for citizens to always do their own research. "We're warning the public to be suspicious of adverts ...
FCA hits Goldman Sachs over reporting failures
HARRISON WORLEY  |  FRIDAY, 5 APR 2019
... to the FCA were accurate and complete," the FCA said. FCA executive director of enforcement and market oversight Mark Steward said Goldman had failed to manage and test controls vitally important to the integrity of the UK's markets. "These were ...
UBS fined $51m for reporting breaches
KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... would have forked out £39.4 million ($72.7m). FCA executive director of enforcement and market oversight Mark Steward said firms must have proper systems and controls to identify what transactions they have carried out; in which markets; at ...
ASIC bans Queensland advisor
... ban will be applied in appropriate cases in order to protect the public," says ASIC's director of enforcement Mark Steward. ASIC found Michel Hendricus Ruurda falsified client records while employed as a proper authority holder and dishonestly ...
ASIC rubs out financial planner for two years
... loans from other clients rather than for investment purposes. ASIC deputy executive director of enforcement Mark Steward says, "Advisers must not advise or encourage clients to make investments outside the limits or terms of the authority ...
Insurance agent sentenced for fraud
... cover taken out. Mr Burton-Clay's fraudulent activities allowed him to receive $530,920 of his clients' monies. Mark Steward deputy director of enforcement for ASIC said Mr Burton-Clay had deliberately engaged in deceptive conduct caused people ...
ASIC bans Perth investment adviser for 18 months
... are placed in investments that are likely to satisfy their needs and without exposing them to risks with which those clients would be uncomfortable if they were properly informed about those risks," ASIC's director of enforcement Mark Steward said.
Former South Australian stockbrocker sentenced
... that convicted people not be involved in the management of companies," said ASIC director of enforcement Mark Steward. "ASIC will take action to ensure that disqualified people who participate in the management of companies are brought ...
Wattle Group saga claims yet another former adviser
... "These investments promised unrealistically high returns of up to 50 per cent," ASIC's director of enforcement Mark Steward said. "These kinds of promised returns almost inevitably result in losses. Investors should remember if it sounds too good ...
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