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Showing 681 to 690 of 776 search results for enforcement.
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Laying myths to rest
Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Statement on foreign exchange market investigation
Our investigations are at an early stage and it will be some time before we conclude whether there has been any misconduct which will lead to enforcement action. -
FCA confirms how it will use new power to publicise warning notices
The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Director of enforcement, Tracey McDermott said:. "We listened carefully to -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Wealth Management Association (formerly APCIMS) speech
Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA Catalyst default statement
The FCA has also taken enforcement action against Catalyst, and three of its current and former directors. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014
Dedicated supervision and enforcement teams will crack down on poor practice, money laundering and unauthorised business. -
Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly
Tracey McDermott, the FCA’s director of enforcement and financial crime said of the fine:. ... Clydesdale also received a 30% discount for settling at an early stage of the enforcement process. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry.