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Showing 11 to 20 of 21 search results for intend to take enforcement action against firms and other.
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Challenges for the regulator - consumer credit, long-term savings and an ageing population
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
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. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Ageing population: update from the FCA
We have published this statement to warn consumers against dealing with unauthorised firms. -
Connaught Income Series 1 Fund — update to investors
As with other enforcement investigations, we will not comment on it as it progresses. ... Your right to pursue a claim (whether via the Fund, in your personal capacity or otherwise) against Capita could be affected by the settlement of the civil legal -
Fair and effective markets review
New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures. ... Firms who operate in these markets therefore need to take responsibility for ensuring standards of market practice are high. -
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. -
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 -
100 days of the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.