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Showing 681 to 690 of 939 search results for enforcement.
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Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Money returned to investors with Anderson, Peacock and Pruthi
The FCA is returning money to investors in illegal deposit-taking schemes operated by John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi. -
FCA fines Barclays £72 million for poor handling of financial crime risks
Mark Steward, director of enforcement and market oversight at the FCA said:. -
FCA bans Phillip Harold Boakes and sentence of 10 years upheld
Mark Steward, director of enforcement and market oversight at the FCA said:. -
Publication of the PRA and FCA review into the failure of HBOS
The PRA and FCA are therefore also today publishing Andrew Green QC's report into the FSA’s enforcement actions following the failure of HBOS. ... The PRA and FCA will conclude a review as to whether further enforcement action should be taken as early -
FCA and PRA review into the failure of HBOS Group
The FCA and the Prudential Regulation Authority (PRA) are publishing a review into the failure of HBOS Group. -
FCA fines and bans former Investment Analyst at Aviva Investors
This abusive practice is known as “cherry picking”. Mark Steward, Director of Enforcement at the FCA said:. -
Culture and governance
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. -
Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
For authorised firms, the FCA is proposing to use tools that give confidence that enforcement action will not be taken at a later date in relation to testing activities.