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Showing 41 to 50 of 162 search results for potential enforcement action.
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Statement on supervision of commodity position limits
In December 2020, we published a Supervisory Statement setting out our approach to the operation of the MiFID markets regime after the end of the EU withdrawal transition period. -
FCA fines Crosfill & Archer Claims Limited £110,000
The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000. -
The rise in scams and the threat to a legitimate financial services industry
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, at the City & Financial Global - FCA Investigations & Enforcement Summit. -
FCA proposes stronger protection for consumers in financial markets
Plans for a new Consumer Duty which will set a higher level of consumer protection in retail financial markets -
FCA sets out proposals to strengthen its financial promotion rules for high-risk investments
Read our proposals to help retail investors make more effective decisions on high-risk investments -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
From regulator to firm to consumer: a virtuous chain of events
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch. -
Why does the FCA care about diversity and inclusion?
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, given at the Ethnic Diversity in the City and Corporate UK Summit.