Showing 291 to 300 of 512 search results for enforcement action.

291. 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.

292. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases Published: 01/02/2017 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

293. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

     Press Releases Published: 31/01/2017 Last modified: 31/01/2017
     The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

294. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

295. Creating and sustaining cultures of compliance: insights from psychology and beyond

     Insight Published: 16/12/2016 Last modified: 17/02/2017
     As with consumers out shopping, employees may use rules of thumb, discount future losses excessively and under or overestimate the risks of their actions, all with the consequence of moulding their ... The salience of the individual’s decisions is

296. FCA launches market study on competition in the mortgage sector

     Press Releases Published: 12/12/2016 Last modified: 10/04/2024
     The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.

297. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

     Press Releases Published: 05/12/2016 Last modified: 05/12/2016
     A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision

298. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

299. Effectiveness of the AML regime in disrupting financial crime

     Speeches Published: 10/11/2016 Last modified: 06/12/2016
     Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

300. The FCA Mission – a consultation

     Press Releases Published: 26/10/2016 Last modified: 31/10/2016
     The Financial Conduct Authority (FCA) has today launched a consultation on its Mission, which is designed to provide a guiding set of principles around the strategic choices the FCA makes. It will inform the FCA’s strategy and day-to-day work over