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Showing 51 to 60 of 94 search results for regulatory and law enforcement.
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Effective compliance with the Market Abuse Regulation – a state of mind
the interplay of the full spectrum of laws, rules and guidance aimed at tackling market abuse in our market, including but not limited to MAR. ... to also ask whether the institution has properly considered its regulatory obligations (set out in -
FCA fines and bans wife and bans husband financial advisor for lack of integrity
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA -
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 -
Overview of competition at the FCA
Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse. -
The expanding scope of individual accountability for corporate misconduct
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 -
Speech: New thinking in regulatory economics
Speech: New thinking in regulatory economics. Insight First published:. 23/03/2017. Last updated: 23/03/2017. ... The meaning and usefulness of narrative economics for regulatory policy in general ismostly a field waiting to be explored. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Effectiveness and proportionality: our financial crime priorities
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.