Showing 181 to 190 of 370 search results for take enforcement action.

181. 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

182. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

183. 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

184. FCA fines Merrill Lynch £34.5 million for failing to report transactions

     Press Releases Published: 23/10/2017 Last modified: 23/10/2017
     Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

185. 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.

186. 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 

187. 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.

188. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

189. 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.

190. The use of the interbank rate in online currency converter tools

     Statements Published: 19/07/2017 Last modified: 19/07/2017
     We previously advised that if we considered that firms were not acting in accordance with our expectations in this area that we may take action – including supervisory and/or enforcement action. ... In doing so we will have particular regard to any