Showing 101 to 110 of 130 search results for Promoting competition in the financial services.

101. 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

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

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Consideration of confiscation and other financial orders will take place at a later date. ... In April 2012, following information that suggested Hope was operating an unauthorised investment scheme, the Financial Services Authority (FSA), the FCA’s

103. 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.

104. 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.

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

     Press Releases Published: 06/08/2014 Last modified: 06/08/2014
     Firms should consider the appropriateness of character-limited media as a means of promoting complex features of financial products or services. ... In 2010 the Financial Services Authority (FSA) published guidance on the use of social media.

106. Competition and investment banking

     Speeches Published: 09/07/2014 Last modified: 09/07/2014
     So, quite deliberately, we expect there to be limited cross-over. However, both reviews are central to the FCA achieving its overarching strategic objective of making financial services markets work well. ... When the FCA was created last year, it was

107. A review of requirements for firms entering into or expanding in the banking sector: one year on

     News stories Published: 07/07/2014 Last modified: 13/11/2019
     This review sets out the progress we have made in implementing the changes from our March 2013 review of the requirements for firms entering into or expanding in the banking sector and the feedback we have received so far.

108. The technology challenge

     Speeches Published: 10/06/2014 Last modified: 19/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version.

109. Competition and insurance

     Speeches Published: 02/06/2014 Last modified: 30/07/2015
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the General Insurance conference, London.This is the text of the speech as drafted, which may differ from the delivered version.

110. The New Market Infrastructure

     Speeches Published: 16/05/2014 Last modified: 29/11/2016
     Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.