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Showing 331 to 340 of 527 search results for Senior Managers Regime applications.

331. Getting the right investor outcomes

     Speeches Published: 24/09/2014 Last modified: 30/09/2014
     Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

332. Information on Applications to perform Senior Management Functions - February 2021

     FOI Release Date of Release: 23/02/2021
     The FCA provides breakdown data regarding the Senior Management Functions.

333. FCA publishes final report in relation to RBS GRG

     Press Releases Published: 13/06/2019 Last modified: 13/06/2019
     The Financial Conduct Authority (FCA) has today published the final report 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).

334. UK EMIR news

     Markets policy Published: 22/05/2016 Last modified: 12/07/2024
     Read our archive of news relating to EMIR dating back to August 2013.

335. Move from being an appointed representative to being authorised

     Tasks for regulated firms Published: 13/05/2015 Last modified: 15/12/2022
     If you decide to move from being an appointed representative (AR) to being authorised, find out how to give notice to your principal.

336. FCA publishes final report into asset management sector

     Press Releases Published: 28/06/2017 Last modified: 28/06/2017
     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.

337. Submit a change in control notification

     Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
     Find out how to prepare your notification and understand what happens after you submit it.

338. Our Annual Report and Accounts 2016/17

     Corporate documents Annual reports Published: 05/07/2017 Last modified: 20/10/2017
     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.

339. PS19/7: Finalising the Directory

     Policy statements Published: 08/03/2019 Last modified: 08/03/2019
     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

340. Speech: Beyond economics?

     Insight Published: 25/01/2017 Last modified: 28/02/2017
     innovative mathematics – an application to Supervision. machine learning – an application to understand the mortgage market. ... Neuroeconomics is the application of neuroscience and its techniques (brain imaging, reaction times, eye tracking, etc.)