Showing 51 to 60 of 107 search results for potential enforcement action against.

51. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

52. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    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

53. FCA urges public to report and speak out against fraudulent investment schemes

    Press Releases Published: 25/10/2017 Last modified: 25/10/2017
    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

54. Challenges for the regulator - consumer credit, long-term savings and an ageing population

    Speeches Published: 04/10/2017 Last modified: 04/10/2017
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

55. Andrew Bailey speech on Free Trade in Financial Services matters

    Speeches Published: 29/09/2017 Last modified: 29/09/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

56. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

57. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

58. 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.

59. 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. 

60. 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