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Showing 371 to 380 of 527 search results for Senior Managers Regime applications.
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MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium. -
FCA to launch enhanced Financial Services Register
The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register. We will then add a directory of certified and assessed persons to the Register. -
FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime. -
Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Women in finance: keeping up the pressure for progress
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to the Women in Finance Summit, London -
Carbon credit trading scams
Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed. -
Countdown to consumer credit takeover
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at Frontier Economics, London.