Showing 391 to 400 of 512 search results for enforcement action.

391. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases Published: 20/01/2015 Last modified: 24/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

392. FCA to regulate seven additional financial benchmarks

     Press Releases Published: 22/12/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s initial regulation of LIBOR (the London

393. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     Approved persons must act with honesty and integrity at all times and, where they do not, we will take action.'. ... Although the FCA is not penalising Burrows for not informing his employer the FCA has taken this into account, amongst other things, in

394. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... on:. how we can use enforcement to help behavioural change. the range of supervisory and enforcement actions we can take.

395. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... That is where I think enforcement action has its value; not just as a punishment but as a very public lesson from which all market

396. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     It will always be the case that enforcement is a key FCA tool. ... So, for example, if you look at last month’s response to FX, enforcement action was coupled with forward looking supervisory work, as well as continuing policy and thematic activity.

397. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

398. New rules will protect consumers from harmful fee-charging credit broking practices, says FCA

     Press Releases Published: 01/12/2014 Last modified: 02/12/2014
     The FCA also believes that enforcement action alone is not sufficient to protect consumers from the poor practices identified in the market. ... The FCA is investigating a number of credit broking firms; seven firms have been stopped from taking on new

399. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

400. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.