Showing 21 to 29 of 29 search results for enforcement approach will be proportionate to the harm.

21. 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.

22. Andrew Bailey speech at press conference for the publication of FCA corporate documents

    Speeches Published: 18/04/2017 Last modified: 18/04/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents.

23. FCA to consult on mortgage payment shortfall remediation guidance

    Press Releases Published: 19/10/2016 Last modified: 25/10/2016
    The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

24. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Important challenges are the diversity of types and sizes of firms, and our determination to achieve a proportionate approach. ... He claimed that 'banks have done more harm to the morality, tranquillity, and even wealth of this nation than they have

25. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... These will support the implementation of the fitness and propriety

26. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

27. 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
    Certification Regime - will require relevant firms to assess and certify at least annually the fitness and propriety of employees deemed capable of causing significant harm to the firm or any of ... The WMS noted that the regulators’ rules will ‘help

28. 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

29. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    We will use enforcement, where it is appropriate and proportionate and where the evidence merits it, when we find executives who fail to understand and live up to the standards they ... This is the situation we are seeking to avoid. And we will use