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Showing 361 to 370 of 1228 search results for Occasional papers First published.

  1. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

  2. How to organise a COO

    Speeches Published: 08/02/2023 Last modified: 08/02/2023
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

  3. FCA publishes rules for the sale of the Lifetime ISA

    Press Releases Published: 16/11/2016 Last modified: 16/11/2016
    The Financial Conduct Authority (FCA) has today outlined its proposed approach to regulating the promotion and distribution of the Lifetime ISA (LISA).

  4. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  5. Statement on how firms should handle post and paper documents

    Statements Published: 13/05/2020 Last modified: 13/05/2020
    We recognise that during the coronavirus (covid-19) pandemic there will be some important functions, such as processing post, that will be more difficult for firms to do in a timely way.  

  6. Listing Transactions – Russia and Belarus sanctions confirmation

    Markets Published: 17/07/2023 Last modified: 17/07/2023
    Confirmations the FCA needs about the effect of sanctions before it can begin work on a vetting, guidance or listing application request.

  7. CP14/15: Recovery and Resolution Directive

    Consultation papers Published: 01/08/2014 Last modified: 15/01/2015
    CP14/15: Recovery and Resolution Directive. Consultation papers First published:. 01/08/2014. Last updated: 15/01/2015. ... This Consultation Paper sets out the proposed changes to our Handbook that are required to transpose the Recovery and Resolution

  8. CP13/17: Use of dealing commission

    Consultation papers Published: 25/11/2013 Last modified: 30/11/2021
    We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS).

  9. FCA consults on cryptoassets guidance

    Press Releases Published: 23/01/2019 Last modified: 04/09/2020
    The FCA is consulting on guidance, which will set out the cryptoasset activities it regulates.

  10. FCA starts debate on fairness of changes to mortgage contracts

    Press Releases Published: 07/07/2014 Last modified: 07/07/2014
    FCA starts debate on fairness of changes to mortgage contracts. Press Releases First published:. ... In a discussion paper published today, the FCA sets out some of the factors that are considered relevant when assessing changes to mortgages contracts