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Showing 71 to 80 of 162 search results for potential enforcement action.
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Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Market abuse requires a dynamic response to a changing risk profile
you must ensure appropriate systems and controls are in place, then there is the potential that this behaviour increases rather than decreases, raising the risk of regulatory action and a damaging ... We look forward to swift and effective action being -
FCA warns public of investment scams as over £197 million reported losses in 2018
The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018. -
Rolling the rock: The cycle of deregulation, crisis and regulation
Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Association for Financial Markets in Europe (AFME) Annual Conference on 2 October 2018. -
Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
MiFID II and the fight against financial crime
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester