Showing 171 to 180 of 300 search results for Following enforcement.

171. The use of the interbank rate in online currency converter tools

     Statements Published: 19/07/2017 Last modified: 19/07/2017
     The FCA has the power under the EMRs and PSRs to impose a requirement on a firm’s authorisation/registration, and may enforce the CPRs by obtaining an enforcement order under ... We previously advised that if we considered that firms were not acting in

172. FCA fines compliance oversight officer for pension transfer failings

     Press Releases Published: 14/07/2017 Last modified: 14/07/2017
     The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

173. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

174. FCA secures eight confiscation orders totalling almost £2.2 million

     Press Releases Published: 24/05/2017 Last modified: 24/05/2017
     The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 

175. Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading

     Press Releases Published: 07/04/2017 Last modified: 27/06/2019
     The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS).

176. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

177. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     FSAOccasional Paper32 (2009) uses differences between sales channels to provide evidence of increased shopping around following the introduction of meaningful price disclosure. ... Again, following deep seated personal beliefs as principles whose costs

178. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases Published: 01/02/2017 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

179. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

180. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts