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Showing 51 to 60 of 143 search results for approach to supervision and enforcement.
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What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
FCA puts the spotlight on debt management firms
The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal -
Money laundering and supervising trusted professionals
OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards. -
Market abuse requires a dynamic response to a changing risk profile
Watch. To help frame today’s conversation - let me briefly touch on the FCA’s 5 Conduct Questions approach. ... The approach serves as a conduct risk mitigation framework that is increasingly used across FCA Wholesale Supervision and which helps -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London. -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Rolling the rock: The cycle of deregulation, crisis and regulation
Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Association for Financial Markets in Europe (AFME) Annual Conference on 2 October 2018. -
The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity. -
FCA consults on rules and guidance to improve conduct and communications in payment services and e-money firms
The Financial Conduct Authority (FCA) is consulting on rules and guidance to improve conduct standards and communications in the payment services and e-money sectors. -
Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns
On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management