Showing 71 to 80 of 123 search results for taking enforcement action against.

71. Ageing population: update from the FCA

    News stories Published: 15/09/2016 Last modified: 06/03/2017
    We have published this statement to warn consumers against dealing with unauthorised firms.

72. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

73. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 18/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

74. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

    Press Releases Published: 14/04/2016 Last modified: 04/11/2019
    The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

75. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    Mr White was reckless in not taking into account the consequences that in benefitting either the trading positions of RBS’s JPY and CHF derivatives traders, or his own JPY and ... This is the FCA’s fourth public action against a trader for

76. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

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

    Statements Published: 03/03/2016 Last modified: 03/03/2016
    and taking certain other action relating to, their pension savings from age 55 following on from the Government’s pension reforms. ... The commencement of investigations should therefore not be taken to indicate that they will necessarily result in

78. 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

79. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

80. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    New regulators like the FCA, setting clear expectations and taking stronger and quicker action against identified failures. ... Also about taking more responsibility, FEMR recommended the creation of a new FICC Markets Standards Board.