Showing 341 to 350 of 443 search results for FCA's enforcement case.

341. Unauthorised Forex Investment Fraudster Convicted

     Press Releases Published: 09/01/2015 Last modified: 09/01/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

342. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     FCA Enforcement Conference: Our part in changing culture. News stories First published:. ... The conference was an opportunity for us to hear industry views, and to share how lessons learned from Enforcement cases can be turned into good practice for

343. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

344. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at the FCA’s Enforcement Conference, London. ... We do not see Enforcement as an end in itself. It is simply one of the tools

345. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the FCA’s Enforcement Conference, London. ... It will always be the case that enforcement is a key FCA tool.

346. New rules will protect consumers from harmful fee-charging credit broking practices, says FCA

     Press Releases Published: 01/12/2014 Last modified: 02/12/2014
     The FCA is investigating a number of credit broking firms; seven firms have been stopped from taking on new business and, to date, three further cases have been referred for enforcement ... in the case of fee-charging brokers, to notify the FCA quarterly

347. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

348. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

349. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

350. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     Post crisis, the key question was why these cases seemed to defy that logic? ... Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s actually enormously important.