Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW
Search ResultsShowing 1 - 10 of 23 results for "Mark Steward"
Pensioners lose decades of savings in 24 hours
ELIZABETH MCARTHUR  |  THURSDAY, 14 NOV 2019
... and 21% more likely to take up an offer to access their pension pot early. FCA executive director of enforcement Mark Steward said: "We know many people have big plans for their retirement, whether it's seeing new places, learning new skills or helping ...
Broker fined for lavish entertainment
ELIZABETH MCARTHUR  |  MONDAY, 14 OCT 2019
... don't want to know" and no further enquiries were made. FCA executive director of enforcement and market oversight Mark Steward said: "The market performs important public functions and is not a private game of self-enrichment. "While these trades did ...
UK insurer fined for annuity sales failings
ELIZA BAVIN  |  TUESDAY, 1 OCT 2019
... September 2017 to existing Prudential pension holders. FCA's executive director of enforcement and market oversight Mark Steward said: "These are very serious breaches that caused harm to those customers. Prudential is now rightly focused on redress ...
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 staff ...
Crypto scams bite UK
HARRISON WORLEY  |  TUESDAY, 21 MAY 2019
... financial 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 serious ...
UBS fined $51m for reporting breaches
KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... it 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
... lifetime 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
... settle 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 given ...
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 significant ...
PAGE:
1
PREVIOUS
NEXT
Link to something T35aqHq4