Showing 1 to 10 of 23 search results for no intention of taking enforcement action.

1. Do the right thing

   Speeches Published: 01/06/2023 Last modified: 30/10/2023
   Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

2. Outcomes-focussed regulation: a measure of success?

   Speeches Published: 06/05/2021 Last modified: 07/05/2021
   Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association

3. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

   Press Releases Published: 18/12/2020 Last modified: 18/12/2020
   The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

4. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

   Press Releases Published: 25/02/2019 Last modified: 25/02/2019
   Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

5. FCA issues its first decision under competition law

   Press Releases Published: 21/02/2019 Last modified: 21/02/2019
   The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

6. The FCA’s Business Plan and Priorities

   Speeches Published: 16/05/2018 Last modified: 16/05/2018
   Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester

7. Effective global regulation in capital markets

   Speeches Published: 05/12/2017 Last modified: 11/04/2018
   Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

8. Where next for investment and asset management regulation?

   Speeches Published: 28/09/2017 Last modified: 02/10/2017
   Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

9. A Better View

   Speeches Published: 20/09/2017 Last modified: 20/09/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

10. FCA launches market study on competition in the mortgage sector

    Press Releases Published: 12/12/2016 Last modified: 10/04/2024
    The FCA launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers.