Showing 1 to 10 of 27 search results for taking enforcement action against firms for not meeting all.

1. Countdown to the Consumer Duty

   Speeches Published: 10/05/2023 Last modified: 10/05/2023
   Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar

2. How the UK will regulate for the future

   Speeches Published: 14/07/2022 Last modified: 14/07/2022
   Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.

3. Listening up to level up – regulating finance for the whole of the UK

   Speeches Published: 20/05/2022 Last modified: 20/05/2022
   Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London.

4. Andrew Bailey speech at the Annual Public Meeting 2019

   Speeches Published: 17/07/2019 Last modified: 17/07/2019
   Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting.

5. Brexit and beyond

   Speeches Published: 21/03/2019 Last modified: 21/03/2019
   Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

6. Market abuse requires a dynamic response to a changing risk profile

   Speeches Published: 13/02/2019 Last modified: 17/05/2019
   We observe firms taking comfort from the perception that ‘others are also failing’ in the same way that they are. ... to the question: What steps are firms taking to ensure that those operating in the markets understand what ‘proper standards of

7. Effective global regulation in capital markets

   Speeches Published: 05/12/2017 Last modified: 11/04/2018
   Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

8. 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.

9. A Better View

   Speeches Published: 20/09/2017 Last modified: 20/09/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

10. Speech: New thinking in regulatory economics

    Insight Published: 23/03/2017 Last modified: 23/03/2017
    But firms lobbied against the rule.It was withdrawn, and sales fell sharply. ... firms. radios. Yes. No. What can we do to improve pages like this?