Showing 81 to 90 of 123 search results for taking enforcement action against.

81. Individual sentenced for role in operating unauthorised collective investment scheme

    Press Releases Published: 19/06/2015 Last modified: 19/06/2015
    Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. ... This prosecution demonstrates that we will not shy away from taking firm and decisive action to protect consumers and the integrity of

82. Eight convicted for role in unauthorised collective investment scheme

    Press Releases Published: 01/06/2015 Last modified: 04/06/2015
    The FCA will take strong action, through both the civil and criminal courts, against those who operate illegal investment schemes and those who assist them like solicitors. ... When the defendants continued with the scheme through a different company,

83. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside

84. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

85. Consumer Credit and the FCA: one year on

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply end up stumbling from one problem to another. ... Not just mere ‘activity’. Indeed, we've already taken action against four firms for breaching

86. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Something is awry here. This is something in which we have been taking a particular interest. ... If you say you want something but your actions say something else, nothing will change.

87. 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

88. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... That is where I think enforcement action has its value; not just as a punishment but as a very public lesson from which all market

89. 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.

90. 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.