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Showing 182 to 191 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. -
A financial system to support the recovery
Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Share, bond and boiler room scams
Find out how share and bond scams work, how to avoid them and what to do if you’re scammed. -
Latest FCA perimeter report calls for legislative change to protect consumers
In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit. -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
Service standards 2018/19
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
This is our fourth penalty in relation to LIBOR and our investigations continue. ... Three brokers (including one manager) were central to the collusion, although at least seven other individuals (including another manager) spanning three desks also -
Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.