Showing 441 to 450 of 776 search results for enforcement.

441. FCA Board appoints new members to the Regulatory Decisions Committee

     Press Releases Published: 25/04/2017 Last modified: 25/04/2017
     The Board of the Financial Conduct Authority (FCA) has appointed an additional six members to the FCA’s Regulatory Decisions Committee (RDC).

442. The FCA publishes its Mission and Business Plan

     Press Releases Published: 18/04/2017 Last modified: 11/04/2024
     The FCA has published its Mission, which gives firms and consumers greater clarity about how the FCA prioritises its interventions in financial markets.

443. Andrew Bailey speech at press conference for the publication of FCA corporate documents

     Speeches Published: 18/04/2017 Last modified: 18/04/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents.

444. Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading

     Press Releases Published: 07/04/2017 Last modified: 27/06/2019
     The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS).

445. FCA bans and fines two individuals for market abuse

     Press Releases Published: 07/04/2017 Last modified: 07/04/2017
     The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

446. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

447. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

     Press Releases Published: 31/03/2017 Last modified: 31/03/2017
     The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

448. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     more competition is invariably the answer.It has great strengths but in some circumstances causes problems.Stucke’s paper ‘Is competition always good?’ in the Journal of Antitrust Enforcement provides a

449. Inside the mind of a scammer: FCA reveals the tactics investment fraudsters use to deceive over 55s

     Press Releases Published: 01/03/2017 Last modified: 12/04/2024
     The FCA has urged over 55s to check investment opportunities are genuine before they part with their money.

450. What makes good conduct regulation?

     Speeches Published: 14/02/2017 Last modified: 14/02/2017
     Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.