News

  1. News
  2. News search results
Filter results
Filter by year
Sort by:

Search results

Showing 31 to 40 of 57 search results for Enforcement Guide.

  1. Speech: New thinking in regulatory economics

    Insight Published: 23/03/2017 Last modified: 23/03/2017
    more competition is invariably the answer.It has great strengths but in some circumstances causes problems.Stucke’s paper ‘Is competition always good?’ in the Journal of Antitrust Enforcement provides a ... Cartwright and Hardie’s book

  2. FCA and PRA publish final changes to enhance enforcement decision-making processes

    Press Releases Published: 01/02/2017 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

  3. Effectiveness and proportionality: our financial crime priorities

    Speeches Published: 10/11/2016 Last modified: 05/12/2016
    Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.

  4. The rationale for the FCA’s Mission and the context which the FCA operates in

    Speeches Published: 26/10/2016 Last modified: 10/11/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.

  5. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

    Press Releases Published: 05/10/2016 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

  6. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    Mark Steward, Director of Enforcement and Market Oversight at the FCA said:. ... As early as March 2007 the FSA produced a Guide to Client Money for General Insurance Intermediaries to help firms understand how to hold client money in accordance with

  7. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

    Press Releases Published: 14/04/2016 Last modified: 04/11/2019
    The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

  8. 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

  9. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    Mark Steward, director of enforcement and market oversight at the FCA said:. ... The FSA published a Policy Statement PS11/15 Financial crime: a guide for firms on 9 December 2011.

  10. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that