FCA considers issuing public warnings earlier

10/16/2013 | Reuters

The UK Financial Conduct Authority might inform investors of potential violations before deciding whether to penalise a firm or person, a policy intended to increase transparency and protect investors. "It is clear that the more transparent and open we can make the regulatory process, the more confidence we can give people that we are acting in their best interest," Director of Enforcement Tracey McDermott said.

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