Showing 71 to 80 of 114 search results for taking enforcement action against firms.

71. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    on their own gains; and where cross-firm tribalism was more important than the interests of their clients or their firms. ... New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures.

72. Individual sentenced for role in operating unauthorised collective investment scheme

    Press Releases Published: 19/06/2015 Last modified: 19/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... This prosecution demonstrates that we will not shy away from taking firm and decisive action to protect consumers and the integrity of

73. Eight convicted for role in unauthorised collective investment scheme

    Press Releases Published: 01/06/2015 Last modified: 04/06/2015
    The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and those who assist them like solicitors. ... When the defendants continued with the scheme through a different company,

74. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside

75. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

76. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    Nor room to assess firms against principles. Whereas the FCA has much greater flexibility of operation and policy. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching the cap.

77. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Yet, despite this, as our most recent thematic review in this area shows, alongside a number of enforcement cases here and overseas, firms are still getting this wrong when it comes ... To do that successfully requires firms to use their judgement and

78. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

79. 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

80. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    It will always be the case that enforcement is a key FCA tool. ... 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.