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Showing 431 to 440 of 527 search results for Senior Managers Regime applications.
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MiFID II – the road ahead
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Temporary permissions regime (TPR) data: solo-regulated firms
This page provides a data summary of the firms under the temporary permissions regime (TPR). -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Share, bond and boiler room scams
Find out how share and bond scams work, how to avoid them and what to do if you’re scammed. -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021. -
FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business
The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also -
The FSA and the Bank of England relax the barriers to entry for new bank entrants
The Financial Services Authority (FSA) and the Bank of England have published the results of their review (the Review) into barriers to new entrants to the banking sector. This Review sets out significant changes to regulatory requirements and -
FCA to ask firms for their views on MiFID II implementation
boutiques; and whether to remove the current recording exemptions for discretionary investment managers in our domestic regime. ... Exploring potential MiFID II inducement rules for advisers, discretionary investment managers and other firms. -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
FCA’s national and international response to coronavirus (Covid-19) and Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International, at Deloitte Annual Conduct Risk Conference (webinar).