Showing 211 to 220 of 322 search results for will not take enforcement action.

211. Chairman's speech to the Trust in Banking Conference

     Speeches Published: 20/10/2015 Last modified: 22/10/2015
     Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

212. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins. ... Typically, securitisation firms purchase these policies from policy holders for a lump sum, and take on responsibility for paying the premiums.

213. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on

214. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

215. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

216. Accountability, from debate to reality

     Speeches Published: 14/07/2015 Last modified: 19/04/2016
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

217. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     It will not set legally binding rules or mandate industry action. ... It will call out good practice and encourage firms to take note.

218. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     What purpose or goal would be served if the FCA were to take enforcement action in this case? ... Nor does it mean that it has decided what type of enforcement action to take, if any, should it turn out that there has been a breach.

219. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

     Speeches Published: 25/06/2015 Last modified: 25/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

220. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

     Press Releases Published: 23/06/2015 Last modified: 23/06/2015
     Effective financial regulation involves creating appropriate incentives to encourage individuals to take greater responsibility for their actions. ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.