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Showing 41 to 50 of 57 search results for Enforcement Guide.
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Fair and effective markets review
Finally, to talk about the report’s principles to guide fairer and more effective market structures. ... However, the Review does note some high-level principles to guide the future development of markets, including the important of transparency, open -
Consumer Credit and the FCA: one year on
And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Yet, for a long time, policy makers have relied on classical interpretations of economics to guide -
The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator
Georgina Philippou, acting director of enforcement and market oversight, commented:. “It is essential to consumer protection, market integrity and the prevention of financial crime that we can rely on firms giving -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk. -
Sustainability
Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... Compliance plays a key role but as a facilitator and a guide – not as the answer. -
Regulating high frequency trading
Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further regulatory action, including referrals to enforcement. ... However, it is likely two firms with egregious failings uncovered in the second -
Guide to the regulation of workplace defined contribution pensions
We have jointly developed this guide with The Pensions Regulator to provide an overview of how workplace defined contribution (DC) pensions are regulated to protect the interests of consumers. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).