Showing 131 to 140 of 263 search results for enforcement action against firms.

131. FCA fines and bans wife and bans husband financial advisor for lack of integrity

     Press Releases Published: 12/10/2017 Last modified: 12/10/2017
     The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

132. Challenges for the regulator - consumer credit, long-term savings and an ageing population

     Speeches Published: 04/10/2017 Last modified: 04/10/2017
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

133. Andrew Bailey speech on Free Trade in Financial Services matters

     Speeches Published: 29/09/2017 Last modified: 29/09/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

134. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

135. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

136. 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.

137. 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.

138. 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. 

139. 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

140. Speech: New thinking in regulatory economics

     Insight Published: 23/03/2017 Last modified: 23/03/2017
     But firms lobbied against the rule.It was withdrawn, and sales fell sharply. ... firms. radios. Yes. No. What can we do to improve pages like this?