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Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
15 month suspended sentence for director of debt management firm
Where we become aware of potential criminal activity in markets that we regulate, including debt management, we will work with the relevant law enforcement agencies as well as making appropriate use -
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. -
Connaught Income Series 1 Fund — update to investors
As with other enforcement investigations, we will not comment on it as it progresses. ... This is consistent with the practice of other law enforcement agencies. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Internal investigations by firms
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 -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
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 -
Megan Butler appointed Director of Supervision - Investment, Wholesale and Specialist
The Financial Conduct Authority (FCA) today announced that Megan Butler will be joining the FCA on secondment from the Prudential Regulation Authority (PRA) to take the role of Director of Supervision – Investment, Wholesale and Specialist.