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A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. -
Overview of competition at the FCA
Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse. -
FCA secures £350,000 confiscation order against convicted insider dealer
Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3 -
The use of the interbank rate in online currency converter tools
The FCA has the power under the EMRs and PSRs to impose a requirement on a firm’s authorisation/registration, and may enforce the CPRs by obtaining an enforcement order under ... We previously advised that if we considered that firms were not acting in -
FCA fines compliance oversight officer for pension transfer failings
The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
FCA secures eight confiscation orders totalling almost £2.2 million
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity.