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Showing 451 to 460 of 527 search results for Senior Managers Regime applications.

  1. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

    Press Releases Published: 23/06/2015 Last modified: 23/06/2015
    Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... The primary changes are:. Extending deferral (the period during which variable remuneration is withheld following the end of the

  3. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    We recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution Directive (RRD) – a comprehensive recovery and resolution regime that helps firms plan for recovery from financial difficulty – ... Other positive

  4. Information on Consumer Network and roundtable events - November 2021

    FOI Release Date of Release: 12/11/2021
    The FCA responds to multiple questions on the FCA's Consumer Network.

  5. Consumer investments data review April - September 2021

    Data Published: 03/03/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

  6. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  7. Meeting the challenge in our changing global markets

    Speeches Published: 16/05/2023 Last modified: 16/05/2023
    Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at the UK Finance and EY: Capital Markets insights launch conference.

  8. Annual classification and notification

    Tasks for regulated firms Published: 13/08/2015 Last modified: 10/02/2023
    All firms carrying on investment business with relevant permissions to hold client money and/or safe custody assets must notify us of their CASS firm type classification annually.

  9. Get-rich-quick, Ponzi and pyramid schemes

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

  10. London FinTech Week 2016 - innovation in RegTech

    Speeches Published: 25/07/2016 Last modified: 31/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.
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