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Showing 32 to 41 of 219 search results for Enforcement investigations and the Senior Managers Regime.

  1. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

  2. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

  3. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 06/04/2016 Last modified: 24/01/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

  4. Has the industry improved ten years on?

    Speeches Published: 14/06/2018 Last modified: 15/06/2018
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018.

  5. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. 

  6. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

  7. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  8. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for

  9. Consumer Duty – information for firms

    Tasks for firms Published: 03/10/2022 Last modified: 01/11/2023
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

  10. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

  11. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence