Showing 11 to 15 of 15 search results for enforcement approach to protect and grow.

11. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Watch. To help frame today’s conversation - let me briefly touch on the FCA’s 5 Conduct Questions approach. ... We begin the 5 Conduct Questions approach with the question: how do firms identify the conduct risk inherent within their business?

12. 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.

13. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

14. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... It falls to each layer of an institution to maintain, protect and invest in its continued growth.

15. The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014

    Press Releases Published: 03/10/2013 Last modified: 29/11/2016
    Our aim is to create a regime that protects consumers and allows businesses to operate. ... Dedicated supervision and enforcement teams will crack down on poor practice, money laundering and unauthorised business.