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Showing 341 to 350 of 443 search results for enforcement case.
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Unauthorised Forex Investment Fraudster Convicted
Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... He promised fantastic returns but, as is so often the case with unauthorised investment schemes, those who invested ended up with significant -
FCA Enforcement Conference: Our part in changing culture
The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... The conference was an opportunity for us to hear industry views, and to share how lessons learned from Enforcement cases can be turned into good practice for -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
Learning the lessons of the past as an industry
That this is not simply a case of a few rogues spoiling it for the majority. ... Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. -
The commercial importance of culture to industry
It will always be the case that enforcement is a key FCA tool. ... But of course, enforcement requires the prospect of rehabilitation in order to move things forward. -
New rules will protect consumers from harmful fee-charging credit broking practices, says FCA
The FCA is investigating a number of credit broking firms; seven firms have been stopped from taking on new business and, to date, three further cases have been referred for enforcement ... in the case of fee-charging brokers, to notify the FCA quarterly -
FCA Enforcement and the Wholesale Markets
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered -
The FCA’s new competition powers: what do they mean for the financial services industry?
Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
Post crisis, the key question was why these cases seemed to defy that logic? ... Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s actually enormously important.