Showing 281 to 290 of 512 search results for enforcement action.

281. Overview of competition at the FCA

     Speeches Published: 03/08/2017 Last modified: 03/08/2017
     Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

282. The use of the interbank rate in online currency converter tools

     Statements Published: 19/07/2017 Last modified: 19/07/2017
     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

283. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

284. FCA secures eight confiscation orders totalling almost £2.2 million

     Press Releases Published: 24/05/2017 Last modified: 24/05/2017
     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. 

285. 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).

286. 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.

287. 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.    

288. 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

289. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     action to exclude themselves from the default then the default shall apply to them.This is very different from typical behavioural remedies which seek to offset unhelpful biases through improved disclosure ... more competition is invariably the answer.It

290. 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.