Showing 131 to 140 of 162 search results for potential enforcement action.

131. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... If you say you want something but your actions say something else, nothing

132. 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.

133. 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.

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

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     For policy makers, this is important for two reasons. First because it has the potential to materially improve consumer outcomes. ... market under different scenarios; and the potential risk of vulnerable people turning to unlicensed lenders.

135. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

136. 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.

137. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

138. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Our enforcement actions are an important source of information to help them do this.”. ... This was an extremely serious failing, with the potential to reduce the fees due to the Bank of England from all the firms that participated in the SLS.

139. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

140. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Despite this CSI’s and YBS’s financial promotions marketed the potential maximum return on the product as a key promotional feature. ... Today’s fines are the first time that the FCA has taken action against both the manufacturer of a product and