Showing 41 to 50 of 57 search results for other law enforcement agencies.

41. Andrew Bailey speech on Free Trade in Financial Services matters

    Speeches Published: 29/09/2017 Last modified: 29/09/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters 

42. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

43. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

44. Effectiveness and proportionality: our financial crime priorities

    Speeches Published: 10/11/2016 Last modified: 05/12/2016
    Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.

45. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

46. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    However, banks should not use AML as an excuse for closing accounts when they are closing them for other reasons. ... In doing this we will continue to work with the Government, law enforcement agencies and the Joint Money Laundering Intelligence

47. Two convicted of insider dealing in Operation Tabernula trial

    Press Releases Published: 08/05/2016 Last modified: 05/04/2023
    In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

48. Connaught Income Series 1 Fund — update to investors

    News stories Published: 29/01/2016 Last modified: 05/12/2016
    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.

49. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    It is difficult to overstate the importance of your role as representatives of debt management offices and other agencies across Europe to the overall functioning of the markets. ... Significant percentages of all of these markets are transacted through

50. Eight convicted for role in unauthorised collective investment scheme

    Press Releases Published: 01/06/2015 Last modified: 04/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... The FCA was assisted in the investigation and prosecution by a number of other law enforcement and government agencies, including the