Showing 341 to 350 of 352 search results for Enforcement and Market Oversight said.

341. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

342. FCA bans partners of firm that failed to consider customer SIPP suitability

     Press Releases Published: 17/04/2014 Last modified: 20/05/2014
     Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

343. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant markets function well.

344. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     SEI failed to train employees with operational oversight and responsibility for client money. ... Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules

345. Modelling integrity through culture

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

346. Competing on integrity

     Speeches Published: 14/11/2013 Last modified: 30/09/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.

347. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... PRA). The FCA has an overarching strategic objective of ensuring the relevant

348. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

349. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

350. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the