Showing 171 to 180 of 224 search results for our approach to enforcement.

171. FCA to regulate seven additional financial benchmarks

     Press Releases Published: 22/12/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s initial regulation of LIBOR (the London

172. FCA Enforcement Conference: Our part in changing culture

     News stories Published: 05/12/2014 Last modified: 05/12/2014
     The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... Our approach is to tackle issues of misconduct at an earlier stage by focusing on firms’ conduct and looking closely at the root causes of behaviour that lead

173. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Our notices and the root causes that underpin the failings should inform your approach to consideration of the risks you face. ... Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms.

174. 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.

175. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     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

176. 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.

177. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     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

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

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     What has changed today however, as I mentioned earlier, is our approach to understanding of how it affects consumers in different markets, enabled by combining testing, behavioural economics and traditional market ... As in the case of our pay cap work,

179. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business. ... Our reforms were designed to ensure advice is based on what is best for the client not the adviser.

180. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.