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Showing 681 to 690 of 697 search results for board effectiveness review.
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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. -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association. -
Assessing liquidity for orderly wind-down: good and poor practices from general insurance brokers
We set out findings of our multi-firm review of general insurance brokers, where we have identified areas for improvement which firms can learn from. -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Although senior managers of the FXCM Group sat on the Board of FXCM UK and knew about the investigation, FXCM UK failed to alert the FCA. ... Once it became aware of the investigation in August 2011, the FCA stepped in to review FXCM UK and secure -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
From Diocletian to pay day loans: what can we learn from successful and unsuccessful price regulation?
Speech by Mary Starks, Director of Competition and Chief Economist at the FCA, delivered at the Social Market Foundation (SMF) lecture, London. -
Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
In the UK alone, there were some 18 separate competition reviews launched into retail banking between 2000 and 2010, starting with the Cruickshank Report. ... Indeed, we have found considerable differences in the effectiveness of market initiatives to