Showing 191 to 200 of 266 search results for enforcement approach.

191. Fair and Effective Markets Review published

     News stories Published: 10/06/2015 Last modified: 04/11/2019
     The Fair and Effective Markets Review (FEMR) was a comprehensive and forward-looking assessment of the way fixed income, currency and commodity (FICC) markets operate.

192. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

     Press Releases Published: 05/06/2015 Last modified: 08/11/2016
     FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mark Steward is currently a member of the Hong Kong Securities and Futures Commission (SFC) and is an Executive Director with responsibility for the Enforcement

193. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

194. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

     Press Releases Published: 23/04/2015 Last modified: 24/04/2015
     Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... Traders at Deutsche Bank used a three

195. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

196. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

     Press Releases Published: 16/03/2015 Last modified: 16/03/2015
     Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector. ... fitness and propriety (by firms as well as by regulators) and strengthened powers of approval and enforcement for the regulators.

197. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Achieving that has brought real challenges for us as a regulator and demanded fresh thinking and a

198. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

     Press Releases Published: 24/02/2015 Last modified: 24/02/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... Weaknesses in compliance oversight and monitoring, along with flaws in the approach to closing audit issues meant that the business’s failure to address the

199. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... You cannot easily fix an ex-ante risk appetite so we need to think of a new

200. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules