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Showing 31 to 40 of 412 search results for supervision and enforcement.
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Statement on supervision of commodity derivatives position limits
In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period. -
FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls
We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes. -
FCA acts to help investors make more informed ESG investment decisions
The FCA is committed to helping investors put Environmental, Social and Governance (ESG) matters at the heart of their investment decisions. -
Investment Firms Prudential Regime final rules published
We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID. -
Partnerships, priorities and predictions for the future in the pensions market
Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association -
Regulating for better outcomes - next steps in consumer credit
Speech by Nisha Arora, Director of Consumer and Retail Policy, given at Westminster Business Forum -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
OPBAS publishes report on progress and themes from 2020/21
The Office for Professional Body Anti-Money Laundering Supervision (OPBAS) releases its 2020/21 report on progress made in tackling money laundering by professional body supervisors. -
The risks of token regulation
Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime -
FCA proposing changes to streamline decision-making
The FCA is proposing changes to its decision-making process which will enable it to make faster and more effective decisions.