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Showing 111 to 120 of 133 search results for other law enforcement.
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Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
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 -
Fair and effective markets review
While public sector issuance has its unique features, it also has many similarities with other parts of the global securities markets. ... Significant percentages of all of these markets are transacted through or booked in London and other European -
New priorities for banking reform
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
Eight convicted for role in unauthorised collective investment scheme
Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA was assisted in the investigation and prosecution by a number of other law enforcement and government agencies, including the -
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
Alex Hope and Raj Von Badlo sentenced following FCA prosecution
Consideration of confiscation and other financial orders will take place at a later date. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
Former Blackrock Asset Management Managing Director Banned
Burrows admitted to the FCA that he had evaded his train fare on a number of occasions and had done so in the knowledge that he had been breaking the law. ... Although the FCA is not penalising Burrows for not informing his employer the FCA has taken