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Showing 521 to 530 of 776 search results for enforcement.
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FCA bans Phillip Harold Boakes and sentence of 10 years upheld
Mark Steward, director of enforcement and market oversight at the FCA said:. -
Publication of the PRA and FCA review into the failure of HBOS
The PRA and FCA are therefore also today publishing Andrew Green QC's report into the FSA’s enforcement actions following the failure of HBOS. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early -
FCA and PRA review into the failure of HBOS Group
The FCA and the Prudential Regulation Authority (PRA) are publishing a review into the failure of HBOS Group. -
FCA fines and bans former Investment Analyst at Aviva Investors
This abusive practice is known as “cherry picking”. Mark Steward, Director of Enforcement at the FCA said:. -
Culture and governance
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities. -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Moving towards a sustainable model of regulation
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans Magnus Michael Peterson from the financial services industry
Mark Steward, Director of Enforcement and Market Oversight at the Financial Conduct Authority, said:. -
Chairman's speech to the Trust in Banking Conference
Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered