Showing 111 to 120 of 143 search results for approach to supervision and enforcement.

111. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

112. Land bank firm shut down by the FCA has appeal rejected by Court

     Press Releases Published: 14/04/2014 Last modified: 29/11/2021
     The Court of Appeal has dismissed, on all counts, an appeal by David Banner-Eve and Asset Land L.I.

113. Santander UK fined £12.4m for widespread investment advice failings

     Press Releases Published: 26/03/2014 Last modified: 25/11/2021
     Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.

114. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

115. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

116. FCA confirms tough new rules for £200bn consumer credit market

     Press Releases Published: 28/02/2014 Last modified: 28/02/2014
     Dedicated supervision and enforcement teams will crack down on poor practice, money laundering and unauthorised business. ... The FCA received 300 responses to its consultation paper on consumer credit proposals with most respondents welcoming the

117. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments. ... Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.".

118. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

     Press Releases Published: 26/11/2013 Last modified: 29/11/2016
     Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... We have repeatedly emphasised the importance of ensuring that client money

119. Evolving the FCA's approach to markets regulation

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

120. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.