News
Search results
Showing 11 to 20 of 23 search results for no intention of taking enforcement action.
-
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
The FCA Mission – a consultation
The Financial Conduct Authority (FCA) has today launched a consultation on its Mission, which is designed to provide a guiding set of principles around the strategic choices the FCA makes. It will inform the FCA’s strategy and day-to-day work over -
Speech: Culture in UK banking – regulatory priorities
Specifically, in some cases there was absolutely no link. Economically, this seemed surprising.FCA disciplinary action should be bad for reputations and revenues, and fines harm profits further.The management should, ... working in the relevant area are -
A more effective approach to combatting financial crime
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference. -
Ageing population: update from the FCA
We have published this statement to warn consumers against dealing with unauthorised firms. -
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. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
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. -
Kenneth Carver fined £35,212 for insider dealing
Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules