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Showing 481 to 490 of 776 search results for enforcement.

  1. Global regulation in the post-crisis era

    Speeches Published: 30/06/2016 Last modified: 01/07/2016
    Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

  2. Former equities trader at Schroders Investment Management sentenced for insider dealing

    Press Releases Published: 12/06/2016 Last modified: 05/04/2023
    Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.

  3. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    Mark Steward, director of enforcement and market oversight at the FCA said:.

  4. Speech: Regulators should heed lessons from mishandling of Hillsborough process

    Insight Published: 07/06/2016 Last modified: 17/02/2017
    Speech by: Tracey McDermott, Acting Chief Executive, FCA. Location: Enforcement Conference, Wilton Park, 5 May 2016. ... These are sobering events and you might ask what all of that has got to do with enforcement and prosecution of financial services

  5. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    Mark Steward, director of enforcement and market oversight at the FCA said:.

  6. Megan Butler appointed permanent Director of Supervision – Investment, Wholesale and Specialists

    Press Releases Published: 27/05/2016 Last modified: 27/05/2016
    Prior to moving to supervision, Megan was Head of Enforcement Law and Policy at the FSA and chaired the International Organization of Securities Commissions (IOSCO) Standing Committee on Cross Border Cooperation ... Before moving to the Enforcement

  7. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

    Statements Published: 26/05/2016 Last modified: 26/05/2016
    The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number

  8. Over 55s at heightened risk of fraud, says FCA

    Press Releases Published: 25/05/2016 Last modified: 25/05/2016
    Mark Steward, Director of Enforcement at the FCA commented: 'You don’t need to be gullible to lose money to a scam or fraud.

  9. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by regulators and prosecutors. ... In doing this we will continue to work with the Government, law

  10. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    Mark Steward, Director of Enforcement and Market Oversight at the FCA said:.
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