Showing 111 to 120 of 132 search results for other law enforcement.

111. Internal investigations by firms

     Speeches Published: 05/11/2015 Last modified: 05/11/2015
     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

112. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     While public sector issuance has its unique features, it also has many similarities with other parts of the global securities markets. ... Significant percentages of all of these markets are transacted through or booked in London and other European

113. New priorities for banking reform

     Speeches Published: 17/06/2015 Last modified: 17/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

114. 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

115. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

116. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     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.

117. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Consideration of confiscation and other financial orders will take place at a later date. ... Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:.

118. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

119. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     Burrows admitted to the FCA that he had evaded his train fare on a number of occasions and had done so in the knowledge that he had been breaking the law. ... Although the FCA is not penalising Burrows for not informing his employer the FCA has taken

120. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered