News
Search results
Showing 61 to 70 of 118 search results for competition enforcement powers.
-
FCA Research into the issue of de-risking
Since the global financial crisis, banks have been faced with higher capital requirements and higher liquidity thresholds as well as greater enforcement by regulators and prosecutors. ... We note that banks, like all firms, are subject to competition law, -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
Innovate Finance Global Summit
Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the Innovate Finance Global Summit on 11 April 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Former equities trader pleads guilty to insider dealing
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. -
FCA fines and restricts W H Ireland Limited for market abuse risks
Mark Steward, director of enforcement and market oversight at the FCA, said: “We expect all firms to have the right controls in place to mitigate risks and protect their clients and ... The FCA’s restriction power enables the regulator to impose the -
Chairman's speech to the Trust in Banking Conference
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 -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
The FCA and PSR Boards have appointed new members to four decision-making committees: the FCA’s Regulatory Decisions Committee (RDC) and Competition Decisions Committee and the PSR’s Enforcement Decisions ... He was also responsible for the conduct -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
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