Showing 81 to 90 of 114 search results for taking enforcement action against firms.

81. 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.

82. 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

83. 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.

84. 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

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

    Speeches Published: 14/11/2014 Last modified: 20/10/2015
    The argument being that firms have to work harder to retain their market share. ... So, yes, there was the normal financial analysis of firms and consumer research.

86. 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

87. Consumer Credit Seminar

    Speeches Published: 21/10/2014 Last modified: 20/03/2024
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

88. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    In that period we have authorised around 980 new firms. we have completed the registration of some 50,000 consumer credit firms for interim permission (taking the regulated firm population to ... barriers to us bringing successful enforcement action.That

89. The technology challenge

    Speeches Published: 10/06/2014 Last modified: 19/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

90. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    Martin Wheatley said: ‘Taking on the regulation of consumer credit is an enormous task which effectively doubles the number of firms that we regulate. ... the FCA will continue to deliver the commitment to establish a robust framework of supervision