Showing 121 to 130 of 185 search results for enforcement powers.

121. FCA Statement on fair treatment of long-standing customers in the life insurance sector

     Statements Published: 03/03/2016 Last modified: 03/03/2016
     The FCA has concluded that the best way to explore these issues further is for that work to be undertaken by our enforcement division using our investigation powers under FSMA.

122. FCA fines and restricts W H Ireland Limited for market abuse risks

     Press Releases Published: 23/02/2016 Last modified: 23/02/2016
     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

123. Connaught Income Series 1 Fund — update to investors

     News stories Published: 29/01/2016 Last modified: 05/12/2016
     As with other enforcement investigations, we will not comment on it as it progresses. ... However, until it is concluded, no decision can be taken on whether to exercise our statutory powers to, for example, obtain redress for investors.

124. 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

125. FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs

     Press Releases Published: 21/09/2015 Last modified: 21/09/2015
     Ofgem Enforcement Decision Panel and a member of the General Assembly of Manchester University. ... He had executive responsibility for Ofcom’s work on the economic regulation of the sectors overseen by Ofcom, encompassing both regulatory policy and

126. 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

127. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

     Press Releases Published: 11/08/2015 Last modified: 12/01/2023
     The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

128. Accountability, from debate to reality

     Speeches Published: 14/07/2015 Last modified: 19/04/2016
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

129. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     These recommendations cover issues as wide and diverse as the regulatory perimeter, market structures, individual accountability and use of market power.

130. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

     Press Releases Published: 10/07/2015 Last modified: 24/04/2019
     But enforcement is only one of a range of tools available to the FCA. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:.