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Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
FCA secures eight confiscation orders totalling almost £2.2 million
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. -
The FCA publishes its Mission and Business Plan
The FCA has published its Mission, which gives firms and consumers greater clarity about how the FCA prioritises its interventions in financial markets. -
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
I am going to address a key topictoday: How do people take decisions and what does this mean for regulation? ... To be sure, the results in Occasional Paper 23 are not due to any kind of poor practice.Far from it, in fact.We work with global experts and -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December -
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. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
Recent history tells us that groupthink in firms, where cohesive groups take poor decisions with limited scrutiny, can lead to poor governance and insufficient challenge. ... The salience of the individual’s decisions is heightened. Changing -
FCA launches market study on competition in the mortgage sector
The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.