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Showing 401 to 410 of 554 search results for board effectiveness review.

  1. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    The FCA found that the Board and senior management failed to give sufficient attention to compliance issues and did not take adequate steps to address them. ... In April 2013, the FCA conducted a review of telephone sales of commercial vehicle core

  2. How regulation can prepare the ground for economic growth

    Speeches Published: 27/09/2022 Last modified: 27/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit.

  3. FCA and PSR Boards appoint new members to decision-making committees

    Press Releases Published: 18/05/2023 Last modified: 18/05/2023
    The FCA and PSR Boards have appointed two new Deputy Chairs - Margaret Obi and Edward Sparrow - to the FCA’s Regulatory Decisions Committee (RDC) and the PSR’s Enforcement Decisions Committee (EDC).

  4. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    Market studies are a tool to analyse the effectiveness of competition in the markets the FCA regulate. ... The FCA undertook a review of competition in wholesale markets to identify whether there were any areas where competition was not working

  5. MiFID II and the fight against financial crime

    Speeches Published: 11/07/2018 Last modified: 20/07/2018
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  6. FCA finds firms still failing to fully manage benchmark risks

    Press Releases Published: 29/07/2015 Last modified: 29/07/2015
    Firms should take our findings on board and consider further steps to improve their oversight.". ... implement appropriate training programmes. The FCA is writing to all firms involved in the review to provide individual feedback and will be following up

  7. Evolving our enforcement approach to protect and grow our markets

    Speeches Published: 27/02/2024 Last modified: 27/02/2024
    Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

  8. The FSA and the Bank of England relax the barriers to entry for new bank entrants

    Press Releases Published: 26/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) and the Bank of England have published the results of their review (the Review) into barriers to new entrants to the banking sector. This Review sets out significant changes to regulatory requirements and

  9. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    In particular, during the period January 2005 to October 2011 it mis-sold insurance policies, failed to investigate complaints adequately, its Board was insufficiently engaged with compliance matters and its senior ... In particular HomeServe failed:.

  10. From regulator to firm to consumer: a virtuous chain of events

    Speeches Published: 18/03/2021 Last modified: 18/03/2021
    Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.