News

Showing 761 to 770 of 939 search results for enforcement.

761. FCA Enforcement and the Wholesale Markets

     Speeches

     Published: 26/11/2014

     Last modified: 30/01/2015

     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

762. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches

     Published: 21/11/2014

     Last modified: 09/11/2016

     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

763. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

     Press Releases

     Published: 20/11/2014

     Last modified: 20/11/2014

     Today’s fine is the first time the FCA and the Prudential Regulation Authority (PRA) have taken joint enforcement action. ... The FCA would like to acknowledge the cross-jurisdictional co-operation it received from the Central Bank of Ireland in the

764. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

     Press Releases

     Published: 17/11/2014

     Last modified: 17/11/2014

     Tracey McDermott, FCA director of enforcement and financial crime said:. 'Firms need to ensure that they fully understand and explain to customers the risks of investing in the products they are

765. Best of British Conference

     Speeches

     Published: 14/11/2014

     Last modified: 30/01/2015

     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

766. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases

     Published: 14/11/2014

     Last modified: 23/11/2021

     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

767. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

     Speeches

     Published: 14/11/2014

     Last modified: 20/10/2015

     Now this may not sound too exciting to some, it certainly lacks the pizzazz of a big enforcement case, but for policy makers it’s actually enormously important.

768. Regulating in a recovery

     Speeches

     Published: 13/11/2014

     Last modified: 13/11/2014

     Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

769. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Published: 12/11/2014

     Last modified: 17/07/2026

     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

770. Former Moore Capital trader pleads guilty to insider dealing

     Press Releases

     Published: 07/11/2014

     Last modified: 05/04/2023

     In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing