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Showing 541 to 550 of 554 search results for board effectiveness review.
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FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
Gaming trading: how trading apps could be engaging consumers for the worse
You may be familiar with the jumping green owl celebrating your completion of a Duolingo language lesson. Or perhaps you compete against your friends on Strava to run the most miles in a month. These are all examples of gamification – the use of -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Although senior managers of the FXCM Group sat on the Board of FXCM UK and knew about the investigation, FXCM UK failed to alert the FCA. ... Once it became aware of the investigation in August 2011, the FCA stepped in to review FXCM UK and secure -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
In the UK alone, there were some 18 separate competition reviews launched into retail banking between 2000 and 2010, starting with the Cruickshank Report. ... Indeed, we have found considerable differences in the effectiveness of market initiatives to