Showing 121 to 130 of 132 search results for supervisory and enforcement.

121. FCA Board appoints new members to the Regulatory Decisions Committee

     News stories Published: 21/08/2013 Last modified: 21/08/2013
     The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community and issuing warning and decision notices for certain enforcement ... He holds a number of

122. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

123. Keynote address: Financial crime in the FCA world

     Speeches Published: 01/07/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

124. 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.

125. Conduct in a new era: leaders rejecting complacency

     Speeches Published: 13/06/2013 Last modified: 18/07/2013
     Speech by John Griffith-Jones, Chairman, the FCA, to theCityUK conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

126. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

     Press Releases Published: 05/06/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

127. 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

128. 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).

129. FSA publishes discussion paper on transparency

     Press Releases Published: 04/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published a discussion paper looking at how transparency and more effective disclosure could improve the accountability of the regulator and the financial services industry, and help consumers make more

130. 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.