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Showing 191 to 200 of 266 search results for FCA's approach to enforcement.

  1. Fair and Effective Markets Review published

    News stories Published: 10/06/2015 Last modified: 04/11/2019
    The Fair and Effective Markets Review (FEMR) was a comprehensive and forward-looking assessment of the way fixed income, currency and commodity (FICC) markets operate.

  2. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... These appointments represent the next stage of the implementation of the FCA’s new strategic approach and the associated new leadership structure which was

  3. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    The FCA plays a leading role in developing internationally agreed regulatory standards on benchmarks. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  5. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    The Financial Conduct Authority (FCA) has today confirmed its approach to improving individual responsibility and accountability in the banking sector by publishing feedback which:. ... sets out how the FCA will implement the Senior Managers Regime (SMR);

  7. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    Now that debate was resolved last year when the FCA took on that responsibility. ... And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another.

  8. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  9. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... You cannot easily fix an ex-ante risk appetite so we need to think of a new

  10. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules