Search results
Showing 112 to 121 of 220 search results for Enforcement investigations and the Senior Managers Regime.
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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. -
Two plead guilty to insider dealing
In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017 -
FCA publishes final report into asset management sector
The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector. -
Information on first names within the Senior Managements Function - August 2021
The FCA provides information on the 50 most common forenames within the Senior Managements Function. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Defined benefit pension transfers
Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area. -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
Approved Persons help text: Connect
Read the FCA Connect help text for Approved Persons. -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
Information on firms sanctioned for greenwashing - April 2022
The FCA provides information on greenwashing.