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Showing 71 to 80 of 94 search results for regulatory and law enforcement.
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Connaught Income Series 1 Fund — update to investors
As with other enforcement investigations, we will not comment on it as it progresses. ... This is consistent with the practice of other law enforcement agencies. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
The FCA and PSR Boards have appointed new members to four decision-making committees: the FCA’s Regulatory Decisions Committee (RDC) and Competition Decisions Committee and the PSR’s Enforcement Decisions ... He had executive responsibility for -
Fair and effective markets review
These recommendations cover issues as wide and diverse as the regulatory perimeter, market structures, individual accountability and use of market power. ... alone, standards will slip from time to time – the regulatory perimeter should be extended. -
New priorities for banking reform
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA appoints new Director of Enforcement and Market Oversight and Director of Risk
FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mr Steward completed a law degree at the University of Melbourne in 1989. -
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.