Law360: Financial Conduct Authority (FCA) executives told MPs at a parliamentary hearing on the 'Sexism and the City' inquiry on 17 January 2024 that the regulator has started an investigation into how banks and insurers deal with non-financial misconduct, amid evidence that firms are not acting against known offenders.
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Use of attestations by the FCA and the PRAFinancial Services Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 onwards. The Database, available here, may be searched and filtered by rule
Unauthorised business and enforcement powers of the FCAOverviewThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from carrying on a regulated activity in the UK unless they are an authorised or an exempt person. This is known as the general prohibition. A regulated
FCA enforcement essentials—investigationsLexis+® UK Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 onwards. The Database, available here, may be searched and
Under what provisions and on what basis can the Financial Conduct Authority prosecute offences under the Fraud Act 2006?The Financial Conduct authority (FCA) was established by section 6 of the Financial Services Act 2012 (FSA 2012), which amended section 1 of the Financial Services and Markets Act
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