Showing 381 to 390 of 401 search results for FCA's enforcement and market oversight.

381. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

382. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

383. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 28/06/2024
     Speech by Clive Adamson, director of supervision, at the General Insurance conference, London.

384. The New Market Infrastructure

     Speeches Published: 16/05/2014 Last modified: 29/11/2016
     Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

385. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... The FCA has an overarching strategic objective of ensuring the

386. 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.

387. 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.

388. Price: the cornerstone of markets

     Speeches Published: 03/02/2014 Last modified: 18/01/2017
     Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

389. 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
     Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde), which is directly authorised by the FCA ... PRA). The FCA has an overarching strategic

390. 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. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.