Showing 101 to 110 of 132 search results for supervisory and enforcement.

101. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

102. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

103. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

104. Consumer Credit Seminar

     Speeches Published: 21/10/2014 Last modified: 20/03/2024
     Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

105. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

106. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... So we have used enforcement and supervisory powers to impose requirements on firms, we announced on 25 June

107. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 03/06/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

108. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

     News stories Published: 28/04/2014 Last modified: 28/04/2014
     Following the initial alert, we carried out further supervisory work, including visiting some firms, to assess whether their business model complied with our requirements. ... We anticipate further firms, and their senior management, being referred to

109. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

110. Promoting competition in the financial services sector

     Speeches Published: 11/03/2014 Last modified: 18/03/2014
     Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version.