Showing 1 to 10 of 93 search results for regulatory and law enforcement.

1. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

   Speeches Published: 14/03/2024 Last modified: 14/03/2024
   Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

2. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

3. Statement on communications in relation to PRIIPs and UCITS

   Statements Published: 30/11/2023 Last modified: 30/11/2023
   Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

4. Financial watchdog cracks down on problem firms and supports struggling borrowers

   Press Releases Published: 20/07/2023 Last modified: 20/07/2023
   In the past year, the FCA has reduced harm to consumers and businesses by stopping 627 firms, that failed to meet the minimum standards, from operating.

5. How innovation and regulation in financial services can drive the UK's economic growth

   Speeches Published: 29/06/2023 Last modified: 29/06/2023
   Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023.

6. OPBAS publishes report on legal and accountancy sector supervision

   Press Releases Published: 28/04/2023 Last modified: 28/04/2023
   In its fourth report, the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has found that professional bodies are continuing to demonstrate good levels of compliance with money laundering regulations but improvements in how

7. FCA appoints executive directors to co-lead Enforcement and Market Oversight

   Press Releases Published: 23/03/2023 Last modified: 23/03/2023
   The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors of Enforcement and Market Oversight.

8. Richard Lloyd – APM opening remarks 2022

   Speeches Published: 12/10/2022 Last modified: 12/10/2022
   Opening remarks by Richard Lloyd, interim Chair of the FCA, delivered at the FCA's 2022 Annual Public Meeting.

9. Fighting financial crime – the force multiplier effect

   Speeches Published: 07/09/2022 Last modified: 07/09/2022
   Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.

10. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 15/07/2022 Last modified: 15/07/2022
    The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case