Showing 641 to 650 of 776 search results for enforcement.

641. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

642. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

     Press Releases Published: 31/03/2014 Last modified: 01/04/2014
     continuing the FCA’s credible deterrence agenda and continue to cooperate with other regulators to pursue cross-border enforcement.

643. Santander UK fined £12.4m for widespread investment advice failings

     Press Releases Published: 26/03/2014 Last modified: 25/11/2021
     Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.

644. Making competition king – the rise of behavioural economics at the FCA

     Speeches Published: 25/03/2014 Last modified: 25/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.

645. Guide to the regulation of workplace defined contribution pensions

     News stories Published: 21/03/2014 Last modified: 12/01/2023
     We have jointly developed this guide with The Pensions Regulator to provide an overview of how workplace defined contribution (DC) pensions are regulated to protect the interests of consumers.

646. FCA winds up a boiler room

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Tracey McDermott, director of enforcement and financial crime at the FCA, said:.

647. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

648. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Tracey McDermott, the Financial Conduct Authority's (FCA) director of enforcement said:. ... This is the first enforcement action for attempted or actual manipulation of the gilt market.

649. Besso Limited fined for anti-bribery and corruption systems failings

     Press Releases Published: 19/03/2014 Last modified: 19/03/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:.

650. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.