News
Search results
Showing 141 to 150 of 248 search results for enforcement approach will.
-
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
The FCA publishes its Mission and Business Plan
The FCA has published its Mission, which gives firms and consumers greater clarity about how the FCA prioritises its interventions in financial markets. -
Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents. -
The expanding scope of individual accountability for corporate misconduct
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 -
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting -
Speech: New thinking in regulatory economics
They provide evidence and arguments that both approaches are rules based and that the rules in both cases are the same.Thus a unified theoretical approach to both is warranted. ... The behavioural approach might be said to take two broad forms.One -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
FCA and PRA publish final changes to enhance enforcement decision-making processes
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 -
Practical implications of US law on EU practice
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.