Search results
Showing 162 to 171 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. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
Carbon credit trading scams
Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
How to organise a COO
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023 -
Information about FCA's oversight of rules on production of value statements by asset managers 2019-2021 – September 2021
FCA provides information about FCA's oversight of rules on production of value statements by asset managers 2019-2021. -
Highlights of the FCA’s new approach in 2021
Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
implementing the measures set out in the Financial Services Act 2013 including establishing Senior Managers and Certified Persons Regime to increase accountability to senior individuals. ... continuing the FCA’s credible deterrence agenda and continue -
LIBOR and mortgage interest rates
LIBOR is an interest rate benchmark that’s being phased out. If your mortgage uses LIBOR, find out what you should expect to happen and what you need to do. -
Market abuse in a time of coronavirus
Julia Hoggett speaking on market abuse at the Ciy & Financial Global event. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).