Showing 81 to 85 of 85 search results for supervisory and enforcement approach.

81. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

82. Journey towards a conduct regulator

    Speeches Published: 05/03/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London

83. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

84. FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies

    Press Releases Published: 13/02/2013 Last modified: 23/11/2021
    The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies.

85. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum