Showing 251 to 260 of 300 search results for Following enforcement.

251. 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.

252. 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.

253. 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. ... On 25 March 2013, the FSA published its Policy Statement (PS13/6)

254. 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.

255. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     Following the initial alert, we carried out further supervisory work, including visiting some firms, to assess whether their business model complied with our requirements. ... We anticipate further firms, and their senior management, being referred to

256. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

257. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

     Press Releases Published: 31/03/2014 Last modified: 01/04/2014
     Following widespread attempted manipulation of Libor, firms should ensure that traders are not able to act in this way in the future. ... continuing the FCA’s credible deterrence agenda and continue to cooperate with other regulators to pursue

258. Making competition king – the rise of behavioural economics at the FCA

     Speeches Published: 25/03/2014 Last modified: 25/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.

259. FCA winds up a boiler room

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Investors would receive guaranteed returns of between 25% and 128% following investments of between 1 to 3 years. ... Tracey McDermott, director of enforcement and financial crime at the FCA, said:.

260. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     This is the first enforcement action for attempted or actual manipulation of the gilt market. ... At 14:56, the Bank took the unprecedented step of announcing that it would not purchase the affected gilt, following significant changes in its yield that