Showing 311 to 320 of 452 search results for our enforcement.

311. Culture and governance

     Speeches Published: 11/11/2015 Last modified: 24/11/2015
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

312. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

     Press Releases Published: 10/11/2015 Last modified: 10/11/2015
     To build on this work, today we’ve set out our plans to help firms test new ideas to better understand how they may work in practice.”. ... For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not

313. Internal investigations by firms

     Speeches Published: 05/11/2015 Last modified: 05/11/2015
     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

314. Moving towards a sustainable model of regulation

     Speeches Published: 03/11/2015 Last modified: 03/11/2015
     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.

315. Chairman's speech to the Trust in Banking Conference

     Speeches Published: 20/10/2015 Last modified: 22/10/2015
     Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

316. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     Georgina Philippou has been acting Director for Enforcement and Market Oversight and will take up her new role in November. ... Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward.

317. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

     Press Releases Published: 30/07/2015 Last modified: 30/07/2015
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... His behaviour was inexcusable and very serious. This ban further reinforces our expectation that individuals and firms take responsibility for ensuring market

318. Accountability, from debate to reality

     Speeches Published: 14/07/2015 Last modified: 19/04/2016
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

319. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     For example, asset managers, interdealer brokers, and others. As with our banking regime, there will be quite a bit of detail underpinning this regime built around the simple concept of accountability. ... These include passing of certain pieces of

320. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... Enforcement is not the only tool at our disposal where we see misconduct by firms or individuals, nor is it the most appropriate one to use in every case.