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Showing 122 to 131 of 220 search results for Enforcement investigations and the Senior Managers Regime.
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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
Recognised industry codes
The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities. -
FCA fines Reckitt Benckiser £539,800 for listing rule failures
This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:. -
CASS compliance – the bigger picture
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. -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Confidence to crisis and back
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
Wholesale Conduct Risk
The Senior Managers Regime, final rules for which were published last week, should reintroduce and reinforce professional accountability to the industry. ... One thing that the introduction of the Senior Managers Regime will do is hard-wire -
Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium.