News
Search results
Showing 81 to 90 of 112 search results for our supervisory and enforcement.
-
FCA Enforcement Conference: Our part in changing culture
The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... on:. how we can use enforcement to help behavioural change. the range of supervisory and enforcement actions we can take. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA Enforcement and the Wholesale Markets
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 -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Consumer Credit Seminar
Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA. -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Sustainability
So we have used enforcement and supervisory powers to impose requirements on firms, we announced on 25 June that Wonga have agreed to pay compensation of over £2.6m to around ... barriers to us bringing successful enforcement action.That has been amply -
Our supervision overview
Speech by Clive Adamson, Director of Supervision, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
Following the initial alert, we carried out further supervisory work, including visiting some firms, to assess whether their business model complied with our requirements. ... We anticipate further firms, and their senior management, being referred to