Showing 101 to 110 of 412 search results for supervision and enforcement.

101. Market abuse requires a dynamic response to a changing risk profile

     Speeches Published: 13/02/2019 Last modified: 17/05/2019
     The approach serves as a conduct risk mitigation framework that is increasingly used across FCA Wholesale Supervision and which helps regulated firms enhance the manner in which they conduct business. ... These are nuanced issues but they reflect that

102. FCA warns public of investment scams as over £197 million reported losses in 2018

     Press Releases Published: 06/02/2019 Last modified: 11/04/2024
     The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018.

103. FCA fines former fund manager Paul Stephany

     Press Releases Published: 05/02/2019 Last modified: 05/02/2019
     The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

104. FCA agrees MoUs with ESMA and EU regulators to allow cooperation and exchange of information

     Press Releases Published: 01/02/2019 Last modified: 06/08/2020
     The Financial Conduct Authority (FCA) has agreed Memoranda of Understanding (MoUs) with ESMA and EU regulators.

105. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

     Press Releases Published: 19/12/2018 Last modified: 19/12/2018
     The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

106. FCA and PSR Boards appoint new members to decision-making committees

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     Competition Decisions Committee and Enforcement Decisions Committee (EDC). ... About the FCA:. On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all regulated financial firms and the prudential

107. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

     Press Releases Published: 14/12/2018 Last modified: 14/12/2018
     The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

108. ScamSmart prompts tens of thousands of pension holders to seek information

     Press Releases Published: 04/12/2018 Last modified: 04/12/2018
     The number of people seeking information about pension scams has soared since the launch of the first joint campaign by the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) this summer.

109. Mark Starling sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud

     Press Releases Published: 29/11/2018 Last modified: 30/11/2018
     Mark Barry Starling, aged 57 of Farnham, Surrey, was today sentenced at Southwark Crown Court to 5 years’ imprisonment for defrauding investors of just under £3 million in relation to unauthorised investment schemes he operated between 2008 and

110. The role of regulation in encouraging good culture

     Speeches Published: 06/11/2018 Last modified: 06/11/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London.