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Showing 71 to 80 of 107 search results for face enforcement action.
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The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
£2.9 million to be returned to investors following FCA prosecution
Mr Hope must pay the order in full within three months or face a further sentence of 20 months’ imprisonment in default, consecutive to the seven year sentence imposed upon him ... The sum, which represents his benefit from his involvement in the -
Connaught Income Series 1 Fund — update to investors
This investigation will continue independently of the settlement of the civil legal action between the liquidators of the Fund and Capita. ... As with other enforcement investigations, we will not comment on it as it progresses. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
In just one year, Project Innovate has helped over 175 innovative businesses and undertaken a number of steps to address some of the challenges that firms face. ... For authorised firms, the FCA is proposing to use tools that give confidence that -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Moving towards a sustainable model of regulation
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Fair and effective markets review
Although far from representative of the behaviour of most market participants, these are the actions that stick in the mind of the public and which have contributed to the significant failures ... New regulators like the FCA, setting clear expectations -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
Effective financial regulation involves creating appropriate incentives to encourage individuals to take greater responsibility for their actions. ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.