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FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor
Georgina Philippou, acting FCA director of Enforcement & Market Oversight said:. -
2015 fines
Fines published during the calendar year ending December 2015. -
FCA to regulate seven additional financial benchmarks
The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s initial regulation of LIBOR (the London -
Early indications that reforms of financial advice are working
Financial advisers are offering investors an increasingly professional service tailored to their individual needs, an FCA review has found. -
Former Blackrock Asset Management Managing Director Banned
Tracey McDermott the FCA's director of enforcement and financial crime, said:. -
FCA Enforcement Conference: Our part in changing culture
The Enforcement conference on 2 December 2014 focused on the FCA's new approach to regulation. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
Learning the lessons of the past as an industry
And as you will hear today enforcement is part of that but it is far from the only tool we use. ... Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. -
The commercial importance of culture to industry
It will always be the case that enforcement is a key FCA tool. ... But of course, enforcement requires the prospect of rehabilitation in order to move things forward. -
New rules will protect consumers from harmful fee-charging credit broking practices, says FCA
The FCA also believes that enforcement action alone is not sufficient to protect consumers from the poor practices identified in the market. ... The FCA is investigating a number of credit broking firms; seven firms have been stopped from taking on new