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Showing 11 to 20 of 53 search results for Head of Enforcement.
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FCA fines GAM International Management and former Investment Director Timothy Haywood
The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML. -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
Covid-19: savers stay calm and don't rush financial decisions
The Pensions Regulator (TPR), the FCA and The Money and Pensions Service (MaPS) urge savers to keep calm and not rush to make any decisions about their pension in response to the coronavirus (Covid-19) pandemic. -
Regulation in a changing world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation. -
Further details of Independent Investigation of Interest Rate Hedging Products announced
John Swift QC has announced his full independent support team is now in place to conduct the investigation into the FSA’s (and subsequently the FCA’s) implementation and oversight of the Interest Rate Hedging Products (IRHP) Redress Scheme. -
Independent reviews of Interest Rate Hedging Products and the Connaught Income Fund Series 1
The FCA has appointed Independent Reviewers for the lessons learned reviews commissioned by the FCA’s Board. One review will cover the redress scheme for Interest Rate Hedging Products and the other will cover the regulation of firms involved -
FCA launch the Financial Services Regulatory Partners Phoenixing Group
The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services. -
Market abuse requires a dynamic response to a changing risk profile
a range of different functions, from cleaning staff to your head of compliance, but also IT support and other functions, should be considered in your firm-wide assessment of the access ... These are nuanced issues but they reflect that the cleanliness of -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
A helping hand for the invisible hand: the FCA’s approach to competition and innovation
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.