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Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through -
The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulating high frequency trading
Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version. -
Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
Tracey McDermott, the FCA's director of enforcement and financial crime, said:. -
The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. -
FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... We anticipate further firms, and their senior management, being