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Showing 81 to 90 of 162 search results for potential enforcement action.
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FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
Brexit: what does it mean for financial markets to be open?
Speech by Andrew Bailey, Chief Executive of the FCA, at City Week ‘The International Financial Services Forum’. -
Cryptocurrency derivatives
FCA statement on the requirement for firms offering cryptocurrency derivatives to be authorised. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
Effective compliance with the Market Abuse Regulation – a state of mind
Whilst one of the most visible indicators of that focus is our enforcement action, the simple reality is that it is reflected across the supervisory, monitoring, investigation and enforcement activities – much ... is fit for purpose and gives us the -
FCA urges public to report and speak out against fraudulent investment schemes
More than a fifth (22%) of those contacted by a suspected fraudulent investment firm stay silent Brits are more likely to report fly-tipping (81%) than investment scams (63%) Londoners report the most investment scams to the FCA followed by -
Challenges for the regulator - consumer credit, long-term savings and an ageing population
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
Andrew Bailey speech on Free Trade in Financial Services matters
Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
Overview of competition at the FCA
Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.