Showing 111 to 120 of 149 search results for Promoting competition in financial.

111. FCA Prudential Supervision Forum

     News stories Published: 21/05/2015 Last modified: 30/03/2018
     We have a single statutory objective, to ensure that relevant markets work well, underpinned by the operational objectives of protecting and enhancing the integrity of the UK financial system; securing an ... appropriate degree of protection for consumers

112. FCA confirms approach for financial promotions in social media

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     FCA confirms approach for financial promotions in social media. Press Releases First published:. ... Firms should consider whether it is appropriate to use character-limited media as a means of promoting complex features of financial products or services.

113. Former chief executive of stockbroker firm fined £450,000 and banned

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     clients. Mr Kenny referred to the Upper Tribunal the then Financial Services Authority’s (FSA/the Authority) 2012 decision to take enforcement action. ... In December 2012, the FCA publicly censured Gracechurch and banned former Gracechurch compliance

114. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Hope's co-defendant, Raj Von Badlo, who had earlier pleaded guilty, was sentenced to a total of 2 years’ imprisonment for recklessly making false representations to investors and promoting a ... Consideration of confiscation and other financial orders

115. Unauthorised Forex Investment Fraudster Convicted

     Press Releases Published: 09/01/2015 Last modified: 09/01/2015
     Securing the conviction of Hope demonstrates the FCA’s commitment to achieving our objectives of protecting consumers and enhancing the integrity of the financial system.”. ... further offence of promoting a collective investment scheme without

116. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

117. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

118. National campaign will target those most at risk of investment fraud, says FCA

     Press Releases Published: 15/10/2014 Last modified: 12/04/2024
     Using funds recovered from the proceeds of crime, the FCA has launched a national campaign to warn people about investment fraud and how to spot a potential scam.

119. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... Cameron made Burlington and staff under his direction instrumental in every stage of promoting and arranging investments in the UCIS.

120. FCA sets out its approach to financial promotions in social media

     Press Releases Published: 06/08/2014 Last modified: 06/08/2014
     Therefore it remains a fundamental requirement that all communications (including financial promotions) are compliant. ... Firms should consider the appropriateness of character-limited media as a means of promoting complex features of financial products