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Showing 21 to 30 of 57 search results for Enforcement Guide.

  1. Firms now need to update or confirm their Firm Details annually

    News stories Published: 23/01/2020 Last modified: 23/01/2020
    From 31 January 2020, firms that come under Sup 16.10 reporting requirements have to check, amend or confirm the accuracy of their Firm Details annually, using the FCA’s Connect portal.

  2. Stress testing for human beings

    Speeches Published: 27/09/2019 Last modified: 27/09/2019
    Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium.

  3. The fight against skimmers and scammers

    Speeches Published: 05/09/2019 Last modified: 05/09/2019
    Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

  4. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    To further build out good practice regarding compliance with SYSC 6.1.1R, last December we published an updated Financial Crime Guide following a useful consultation process. ... This piece of work marks an important step for us. Not because the update

  5. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  6. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

  7. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

  8. Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading

    Press Releases Published: 07/04/2017 Last modified: 27/06/2019
    The Financial Conduct Authority (FCA) today announces that it is investigating events surrounding the discovery of misconduct within the Reading-based Impaired Assets team of Halifax Bank of Scotland (HBOS).

  9. 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

  10. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

    Press Releases Published: 31/03/2017 Last modified: 31/03/2017
    The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting