Showing 81 to 90 of 107 search results for potential enforcement action against.

81. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching

82. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... If you say you want something but your actions say something else, nothing

83. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

84. The FCA’s new competition powers: what do they mean for the financial services industry?

    Speeches Published: 21/11/2014 Last modified: 09/11/2016
    Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

85. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

    Speeches Published: 14/11/2014 Last modified: 20/10/2015
    So, instead of relying on the invisible hand to shape our interventions we lean against the drivers of irrationality. ... market under different scenarios; and the potential risk of vulnerable people turning to unlicensed lenders.

86. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

87. Consumer Credit Seminar

    Speeches Published: 21/10/2014 Last modified: 20/03/2024
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

88. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

89. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is not translated into managing risk in other high risk areas. ... barriers to us bringing successful enforcement action.That has been amply

90. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    Despite this CSI’s and YBS’s financial promotions marketed the potential maximum return on the product as a key promotional feature. ... Today’s fines are the first time that the FCA has taken action against both the manufacturer of a product and