Search results

Showing 51 to 60 of 506 search results for Executive Officer of the Prudential Regulation Authority.

51. FCA finds failings in the oversight of appointed representatives in the general insurance sector

    Press Releases Published: 22/07/2016 Last modified: 22/07/2016
    The FCA is also writing to Chief Executive Officers of principal firms in the general insurance sector to remind them of its expectations and set out what actions firms should take ... Regulation Authority (PRA).

52. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    Following the insolvency of Lehman Brothers in 2008, the FCA’s predecessor, the Financial Services Authority (FSA), wrote to compliance officers in March 2009 and chief executives in January 2010 highlighting ... Prudential Regulation Authority (PRA).

53. Regulating the UK as a global financial centre

    Speeches Published: 13/04/2021 Last modified: 26/04/2021
    Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit.

54. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

55. 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

56. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

57. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

58. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    on that – and it’s not just me saying that – we were very proud to see Martin Wheatley, our Chief Executive receive the Which? ... where ultimately many of us in compliance and regulation find ourselves out of a job because doing the right thing

59. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    Towergate therefore qualified for a 30% (stage 1) discount under the Authority’s executive settlement procedures. ... He therefore qualified for a 30% (stage 1) discount under the Authority’s executive settlement procedures.

60. Barclays fined £38 million for putting £16.5 billion of client assets at risk

    Press Releases Published: 23/09/2014 Last modified: 30/08/2015
    Following the insolvency of Lehman Brothers in 2008, the FCA’s predecessor, the FSA, wrote to compliance officers in March 2009 and chief executives in January 2010 highlighting concerns about the ... Prudential Regulation Authority (PRA).