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Showing 61 to 70 of 1321 search results for Wholesale Conduct Risk.

  1. Culture and governance

    Speeches Published: 11/11/2015 Last modified: 24/11/2015
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Next steps in transition from LIBOR

    Speeches Published: 21/11/2019 Last modified: 21/11/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the Risk.net LIBOR Summit, 2019.

  3. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

  4. How the UK will regulate for the future

    Speeches Published: 14/07/2022 Last modified: 14/07/2022
    Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.

  5. Efficiency and effectiveness: our approach to primary markets

    Speeches Published: 01/03/2017 Last modified: 01/03/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg.

  6. A to Z of financial terms - Wholesale Conduct Risk

    Consumers Published: 20/03/2023 Last modified: 20/03/2023
    A to Z of financial services to help you understand financial and legal terms.

  7. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

  8. FCA publishes report on the supervision of Algorithmic Trading

    Press Releases Published: 12/02/2018 Last modified: 22/08/2022
    The FCA has today published a report on the supervision of algorithmic trading in wholesale markets.

  9. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Competition and investment banking

    Speeches Published: 09/07/2014 Last modified: 09/07/2014
    The FCA has this morning launched a review of competition in the wholesale sector. ... We only need to look to issues such as LIBOR to see that the impact of poor conduct in the wholesale markets can be significant, and far reaching.