Showing 91 to 100 of 185 search results for enforcement powers.

91. FCA stops unlawful foreign exchange investment scheme

    Press Releases Published: 19/12/2017 Last modified: 21/12/2017
    Following an application by the FCA, the High Court yesterday made orders against a number of persons involved in carrying on an unauthorised foreign exchange investment scheme.  The scheme took in at least £1.2 million from 65 investors but none

92. FCA issues first statement of objections to four asset management firms

    Press Releases Published: 29/11/2017 Last modified: 29/11/2017
    The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

93. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    Whilst one of the most visible indicators of that focus is our enforcement action, the simple reality is that it is reflected across the supervisory, monitoring, investigation and enforcement activities – much ... As Mark Steward, FCA Director of

94. Andrew Bailey speech on Free Trade in Financial Services matters

    Speeches Published: 29/09/2017 Last modified: 29/09/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

95. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

96. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

97. The use of the interbank rate in online currency converter tools

    Statements Published: 19/07/2017 Last modified: 19/07/2017
    The FCA has the power under the EMRs and PSRs to impose a requirement on a firm’s authorisation/registration, and may enforce the CPRs by obtaining an enforcement order under ... We plan to consult on making new rules using these powers as a priority.

98. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

99. Andrew Bailey speech at press conference for the publication of FCA corporate documents

    Speeches Published: 18/04/2017 Last modified: 18/04/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents.

100. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement