Showing 41 to 50 of 100 search results for take enforcement action against firms and other regulated.

41. FCA publishes update on high-cost credit work

    Press Releases Published: 31/01/2018 Last modified: 11/04/2024
    The FCA has published an update on its work in the high-cost credit sector.

42. 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

43. 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

44. 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

45. 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.

46. 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.

47. 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 

48. 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.

49. 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.

50. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.