Showing 61 to 70 of 103 search results for supervisory and enforcement work.

61. FCA Statement on fair treatment of long-standing customers in the life insurance sector

    Statements Published: 03/03/2016 Last modified: 03/03/2016
    The FCA will work with the eleven firms to address the specific findings identified through our ongoing supervisory work. ... The FCA has concluded that the best way to explore these issues further is for that work to be undertaken by our enforcement

62. UK FinTech: Regulating for innovation

    Speeches Published: 23/02/2016 Last modified: 23/02/2016
    Speech by Christopher Woolard, FCA Director of Strategy and Competition, delivered at the FCA’s event on UK FinTech: Regulating for innovation on 22 February 2016. This is the text of the speech as drafted, which may differ from the delivered

63. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

64. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

65. Publication of the PRA and FCA review into the failure of HBOS

    Press Releases Published: 19/11/2015 Last modified: 27/06/2019
    I am hugely thankful for the painstaking work the team have done to compile a comprehensive report. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early as possible next year.

66. Internal investigations by firms

    Speeches Published: 05/11/2015 Last modified: 05/11/2015
    Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ

67. Moving towards a sustainable model of regulation

    Speeches Published: 03/11/2015 Last modified: 03/11/2015
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

68. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

    Speeches Published: 25/06/2015 Last modified: 25/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

69. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... Barbara is a specialist in Risk and Regulatory matters. She represents the banking industry in regulatory and supervisory discussions with regulators, Government and

70. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.