Showing 11 to 20 of 27 search results for taking enforcement action against firms for not meeting all.

11. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

12. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

13. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    I note for any non-banks present that:. The Bank of England and Financial Services Act 2016 extended the SMCR to all FSMA authorised firms. ... working in the relevant area are made aware of the enforcement action.The effect of this could be enhanced by

14. Ageing population: update from the FCA

    News stories Published: 15/09/2016 Last modified: 06/03/2017
    We have published this statement to warn consumers against dealing with unauthorised firms.

15. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

16. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

17. FCA Statement on fair treatment of long-standing customers in the life insurance sector

    Statements Published: 03/03/2016 Last modified: 03/03/2016
    We expect all firms with closed-book customers to take into account the findings we have published today and ensure they are treating their closed-book customers fairly.”. ... The commencement of investigations should therefore not be taken to indicate

18. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

19. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

20. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures. ... While this regime was introduced to address the concerns highlighted by the financial crisis, FEMR has recommended that the