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The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Speech: New thinking in regulatory economics
Our success depends on making markets work well. First, an obvious question with an obvious answer. ... Nor do our behaviourally informed disclosures, as FSAOccasional Paper32 mentioned above clearly shows. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
FCA and PRA publish final changes to enhance enforcement decision-making processes
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes -
FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December -
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. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
Penalties can go a long way to deter wrongdoing. But to rely on them alone is to overlook one of the fundamental drivers of all our behaviour: social and psychological influences. ... The salience of the individual’s decisions is heightened. Changing -
FCA launches market study on competition in the mortgage sector
The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers. -
A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check
A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.