Showing 161 to 170 of 221 search results for take enforcement action against.

161. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases Published: 20/01/2015 Last modified: 24/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

162. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... That is where I think enforcement action has its value; not just as a punishment but as a very public lesson from which all market

163. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     So, for example, if you look at last month’s response to FX, enforcement action was coupled with forward looking supervisory work, as well as continuing policy and thematic activity. ... What should not be difficult however, and what clients, investors

164. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

165. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

166. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

167. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

168. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches Published: 14/11/2014 Last modified: 20/10/2015
     So, instead of relying on the invisible hand to shape our interventions we lean against the drivers of irrationality. ... Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s

169. Regulating in a recovery

     Speeches Published: 13/11/2014 Last modified: 13/11/2014
     Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

170. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358