Showing 91 to 100 of 162 search results for potential enforcement action.

91. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

92. FCA secures eight confiscation orders totalling almost £2.2 million

    Press Releases Published: 24/05/2017 Last modified: 24/05/2017
    The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. 

93. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

94. Speech: New thinking in regulatory economics

    Insight Published: 23/03/2017 Last modified: 23/03/2017
    action to exclude themselves from the default then the default shall apply to them.This is very different from typical behavioural remedies which seek to offset unhelpful biases through improved disclosure ... more competition is invariably the answer.It

95. Inside the mind of a scammer: FCA reveals the tactics investment fraudsters use to deceive over 55s

    Press Releases Published: 01/03/2017 Last modified: 12/04/2024
    The FCA has urged over 55s to check investment opportunities are genuine before they part with their money.

96. What makes good conduct regulation?

    Speeches Published: 14/02/2017 Last modified: 14/02/2017
    Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

97. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

98. FCA to consult on mortgage payment shortfall remediation guidance

    Press Releases Published: 19/10/2016 Last modified: 25/10/2016
    The Financial Conduct Authority (FCA) has today announced that it will consult on new guidance on the treatment of customers with mortgage payment shortfalls (commonly referred to as arrears). This guidance covers remediation for mortgage customers

99. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    This means changing the private benefits and costs of particular courses of action for the agents so that they actually prefer to do ‘the right thing’.In regulation or law enforcement ... working in the relevant area are made aware of the enforcement

100. FCA publishes thematic review of annuity sales practices

     Press Releases Published: 14/10/2016 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.