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Showing 1 to 10 of 18 search results for no intention of taking enforcement action against.
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Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
Outcomes-focussed regulation: a measure of success?
Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association -
Blue Gate Capital Limited ordered to pay Connaught investors £203,007
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). -
FCA issues its first decision under competition law
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. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
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