Showing 591 to 600 of 776 search results for enforcement.

591. Early indications that reforms of financial advice are working

     Press Releases Published: 16/12/2014 Last modified: 12/04/2024
     Financial advisers are offering investors an increasingly professional service tailored to their individual needs, an FCA review has found.

592. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     Tracey McDermott the FCA's director of enforcement and financial crime, said:.

593. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... on:. how we can use enforcement to help behavioural change. the range of supervisory and enforcement actions we can take.

594. 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.

595. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     And as you will hear today enforcement is part of that but it is far from the only tool we use. ... Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms.

596. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     It will always be the case that enforcement is a key FCA tool. ... But of course, enforcement requires the prospect of rehabilitation in order to move things forward.

597. 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 also believes that enforcement action alone is not sufficient to protect consumers from the poor practices identified in the market. ... The FCA is investigating a number of credit broking firms; seven firms have been stopped from taking on new

598. 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

599. 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.

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

     Press Releases Published: 20/11/2014 Last modified: 20/11/2014
     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. ... The FCA would like to acknowledge the cross-jurisdictional co-operation it received