Showing 331 to 340 of 370 search results for executive director of enforcement.

331. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at the FCA’s Enforcement Conference, London. ... We will use enforcement, where it is appropriate and proportionate and where

332. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the FCA’s Enforcement Conference, London. ... It will always be the case that enforcement is a key FCA tool.

333. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     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.

334. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     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.

335. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, at The Institute of Directors, London. ... 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

336. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

337. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

338. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous industry-wide warnings, and exposed its clients to unnecessary ... The FCA’s enforcement

339. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... On 2 July 2012, the Chancellor of the Exchequer commissioned Martin Wheatley, chief executive of the FCA (formerly managing director of the FSA), to undertake a review

340. 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. ... on that – and it’s not just me saying that – we were very proud to see Martin Wheatley, our Chief