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Showing 611 to 620 of 939 search results for enforcement.

611. FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation

     Press Releases

     Published: 31/03/2017

     Last modified: 31/03/2017

     The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting

612. Speech: New thinking in regulatory economics

     Insight

     Published: 23/03/2017

     Last modified: 23/03/2017

     It has great strengths but in some circumstances causes problems. Stucke’s paper ‘Is competition always good?’ in the Journal of Antitrust Enforcement provides a balanced account.

613. Inside the mind of a scammer: FCA reveals the tactics investment fraudsters use to deceive over 55s

     Press Releases

     Published: 01/03/2017

     Last modified: 12/04/2024

     The FCA has urged over 55s to check investment opportunities are genuine before they part with their money.

614. What makes good conduct regulation?

     Speeches

     Published: 14/02/2017

     Last modified: 14/02/2017

     Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

615. FCA and PRA publish final changes to enhance enforcement decision-making processes

     Press Releases

     Published: 01/02/2017

     Last modified: 04/11/2019

     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

616. 2017 fines

     News stories

     Published: 31/01/2017

     Last modified: 17/03/2026

     This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

617. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

     Press Releases

     Published: 31/01/2017

     Last modified: 31/01/2017

     The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

618. Practical implications of US law on EU practice

     Speeches

     Published: 19/01/2017

     Last modified: 20/01/2017

     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

619. Two sentenced in insider dealing case

     Press Releases

     Published: 13/01/2017

     Last modified: 13/01/2017

     In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also

620. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases

     Published: 21/12/2016

     Last modified: 21/12/2016

     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts