Showing 451 to 460 of 586 search results for director of enforcement.

451. 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.

452. 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

453. 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.

454. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

     Press Releases Published: 20/11/2014 Last modified: 20/11/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA said:. ... Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have taken joint enforcement action.The PRA has fined the Banks £14 million.

455. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

     Press Releases Published: 17/11/2014 Last modified: 17/11/2014
     Tracey McDermott, FCA director of enforcement and financial crime said:. 'Firms need to ensure that they fully understand and explain to customers the risks of investing in the products they are

456. 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

457. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

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

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, at The Institute of Directors, London. ... 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

459. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

460. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases Published: 07/11/2014 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing