Search results
Showing 102 to 111 of 220 search results for Enforcement investigations and the Senior Managers Regime.
-
Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect. -
Statement on the further investigative steps in relation to RBS GRG
The Financial Conduct Authority (FCA) has today provided an update on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG). -
Regulatory Sandbox
The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply. -
FCA publishes final rules to make those in the banking sector more accountable
The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. -
Privacy notice
The FCA's privacy notice explains how and why it uses your personal data. -
Money laundering and terrorist financing
Find out more about the regulations and risk-based approach to anti-money laundering. -
FCA introduces final rules on the Directory of financial services workers
The Financial Conduct Authority (FCA) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services. -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for -
PS19/7: Finalising the Directory
This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues.