Showing 71 to 80 of 107 search results for face enforcement action.

71. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    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.

72. £2.9 million to be returned to investors following FCA prosecution

    Press Releases Published: 12/02/2016 Last modified: 30/09/2016
    Mr Hope must pay the order in full within three months or face a further sentence of 20 months’ imprisonment in default, consecutive to the seven year sentence imposed upon him ... The sum, which represents his benefit from his involvement in the

73. Connaught Income Series 1 Fund — update to investors

    News stories Published: 29/01/2016 Last modified: 05/12/2016
    This investigation will continue independently of the settlement of the civil legal action between the liquidators of the Fund and Capita. ... As with other enforcement investigations, we will not comment on it as it progresses.

74. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

75. Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’

    Press Releases Published: 10/11/2015 Last modified: 10/11/2015
    In just one year, Project Innovate has helped over 175 innovative businesses and undertaken a number of steps to address some of the challenges that firms face. ... For authorised firms, the FCA is proposing to use tools that give confidence that

76. Internal investigations by firms

    Speeches Published: 05/11/2015 Last modified: 05/11/2015
    Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

77. 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.

78. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    Although far from representative of the behaviour of most market participants, these are the actions that stick in the mind of the public and which have contributed to the significant failures ... New regulators like the FCA, setting clear expectations

79. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

    Speeches Published: 25/06/2015 Last modified: 25/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

80. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

    Press Releases Published: 23/06/2015 Last modified: 23/06/2015
    Effective financial regulation involves creating appropriate incentives to encourage individuals to take greater responsibility for their actions. ... Final guidance on Presumption of Responsibility and other enforcement-related matters – autumn 2015.