Showing 91 to 100 of 143 search results for approach to supervision and enforcement.

91. Moving towards a sustainable model of regulation

    Speeches Published: 03/11/2015 Last modified: 03/11/2015
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

92. Chairman's speech to the Trust in Banking Conference

    Speeches Published: 20/10/2015 Last modified: 22/10/2015
    Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

93. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    Chief Operating Officer: Georgina Philippou. Director of Enforcement and Market Oversight: Mark Steward. ... Director of Strategy and Competition: Christopher Woolard. Director of Supervision – Investment, Wholesale and Specialists: Megan Butler.

94. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    These will ensure robust oversight and continued enforcement power over key individuals who can significantly impact the FCA objectives, whilst maintaining a proportionate approach;. ... Future publications on banking accountability. Final guidance on

95. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have today published the final rules confirming the approach to improving individual accountability in the banking sector. ... Final guidance on Presumption of Responsibility

96. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Mark Steward is currently a member of the Hong Kong Securities and Futures Commission (SFC) and is an Executive Director with responsibility for the Enforcement

97. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

98. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... Traders at Deutsche Bank used a three

99. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector. ... fitness and propriety (by firms as well as by regulators) and strengthened powers of approval and enforcement for the regulators.

100. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

     Press Releases Published: 24/02/2015 Last modified: 24/02/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... Weaknesses in compliance oversight and monitoring, along with flaws in the approach to closing audit issues meant that the business’s failure to address the