Search results
Showing 92 to 101 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. -
Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
Locking down market abuse
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law. -
Remote or hybrid working: FCA expectations for firms
It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities. -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference. -
About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
Our Annual Report and Accounts 2016/17
Our Annual Report and Accounts shows how our work over the last year has met our objectives and delivered against the key priorities we set out in our Business Plan 2016/17. -
Information on enforcement action within asset management in 2019 - May 2020
The FCA provides information on enforcement action within asset management in 2019.