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Showing 152 to 161 of 220 search results for Enforcement investigations and the Senior Managers Regime.

  1. 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.

  2. Primary Market Bulletin Issue No. 30

    Newsletters Published: 19/08/2020 Last modified: 21/08/2020
    In this special edition, we publish general news and information, including changes to our Knowledge Base.

  3. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

  4. FCA appoints David Anthony Scott as Interim General Counsel and Raj Parker as a senior legal adviser

    Press Releases Published: 23/06/2021 Last modified: 23/06/2021
    The FCA has appointed David Anthony Scott as its Interim General Counsel.

  5. FCA launches campaign to encourage individuals to report wrongdoing

    Press Releases Published: 24/03/2021 Last modified: 24/03/2021
    The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

  6. Global regulation in the post-crisis era

    Speeches Published: 30/06/2016 Last modified: 01/07/2016
    Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

  7. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

  8. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Annual Report 2015/16 and Competition Report 2013-16

    Corporate documents Published: 12/07/2016 Last modified: 07/12/2016
    The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling

  10. FCA publishes Annual Report and Accounts 2019/20

    Press Releases Published: 10/09/2020 Last modified: 10/09/2020
    The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.

  11. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... investor and corporate issuer representatives.We also undertook