Search results

Showing 161 to 170 of 1609 search results for short position.

161. FCA bans former BGC senior executive Anthony Verrier

     Press Releases Published: 29/01/2014 Last modified: 30/06/2014
     Verrier held a senior position within the financial services industry. He should have been a role model for others. ... The judge’s findings about his conduct made it clear he fell far short of that.

162. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

163. Weighing the value of data – trade-offs, transparency and competition in the digital marketplace

     Speeches Published: 07/05/2019 Last modified: 08/05/2019
     Speech by Robin Finer, Acting Chief Economist at the FCA, delivered at the Respublica conference ‘The Value of Data, Competition, and Financial Services’, London.

164. The FCA's response to COVID-19 and expectations for 2020

     Speeches Published: 04/06/2020 Last modified: 04/06/2020
     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival.

165. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     Burrows held a senior position within the financial services industry. His conduct fell short of the standards we expect.

166. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

167. Preparing for Brexit in financial services: the state of play

     Speeches Published: 16/09/2019 Last modified: 16/09/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

168. Relending by high-cost lenders

     Firms Multi-firm reviews Published: 06/08/2020 Last modified: 07/08/2020
     This report sets out our review findings of relending by firms in the high-cost lenders portfolio.

169. Critical issues in financial regulation: The FCA's perspective

     Speeches Published: 26/04/2022 Last modified: 28/04/2022
     Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

170. Liquidity Management multi-firm review

     Multi-firm reviews Published: 06/07/2023 Last modified: 06/07/2023
     Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.