Showing 91 to 100 of 132 search results for supervisory and enforcement.

91. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

    Press Releases Published: 23/06/2015 Last modified: 23/06/2015
    designated risk managers with senior, managerial or supervisory roles, and three to five years for all other staff whose actions could have a material impact on a firm (material risk takers). ... Final guidance on Presumption of Responsibility and other

92. 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

93. 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.

94. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

95. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

    Press Releases Published: 05/03/2015 Last modified: 30/08/2015
    Georgina Philippou, acting director of enforcement and market oversight, commented:. “It is essential to consumer protection, market integrity and the prevention of financial crime that we can rely on firms giving ... Concerns about the culture within

96. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

97. Early indications that reforms of financial advice are working

    Press Releases Published: 16/12/2014 Last modified: 12/04/2024
    Financial advisers are offering investors an increasingly professional service tailored to their individual needs, an FCA review has found.

98. FCA Enforcement Conference: Our part in changing culture

    News stories Published: 05/12/2014 Last modified: 05/12/2014
    The Enforcement conference on 2 December 2014 focused on our new approach to regulation. ... on:. how we can use enforcement to help behavioural change. the range of supervisory and enforcement actions we can take.

99. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    It will always be the case that enforcement is a key FCA tool. ... So, for example, if you look at last month’s response to FX, enforcement action was coupled with forward looking supervisory work, as well as continuing policy and thematic activity.

100. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.