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Showing 211 to 220 of 370 search results for take enforcement action.

  1. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

  2. Ageing population: update from the FCA

    News stories Published: 15/09/2016 Last modified: 06/03/2017
    We have published this statement to warn consumers against dealing with unauthorised firms.

  3. London FinTech Week 2016 - innovation in RegTech

    Speeches Published: 25/07/2016 Last modified: 31/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

  4. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

  5. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    Principle 3 requires firms to take reasonable care to organise and control their affairs responsibly and effectively and with adequate risk management systems. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for

  6. Global regulation in the post-crisis era

    Speeches Published: 30/06/2016 Last modified: 01/07/2016
    Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

  7. Speech: Regulators should heed lessons from mishandling of Hillsborough process

    Insight Published: 07/06/2016 Last modified: 17/02/2017
    Speech by: Tracey McDermott, Acting Chief Executive, FCA. Location: Enforcement Conference, Wilton Park, 5 May 2016. ... These are sobering events and you might ask what all of that has got to do with enforcement and prosecution of financial services

  8. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    We have taken action against firms on numerous occasions and there’s no excuse for firms continuing to get it wrong. ... We will continue to monitor how firms are dealing with complaints and will not hesitate to take action where we see firms not

  9. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

  10. 15 month suspended sentence for director of debt management firm

    News stories Published: 28/04/2016 Last modified: 28/04/2016
    We have used our regulatory powers to ensure that consumers affected were fully refunded and that the firms did not take on any new business from May 2014. ... We provided a witness statement for the prosecution which set out the actions that we took
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