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Showing 481 to 490 of 527 search results for Senior Managers Regime applications.
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PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers
they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7 -
Latest FCA perimeter report calls for legislative change to protect consumers
In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit. -
Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation
Walid Choucair ordered to pay £4m in confiscation costs in respect of being convicted of five offences of insider dealing. -
Financial crime systems and controls during coronavirus situation
Find out about the FCA's expectations on how firms should apply their systems and controls to combat and prevent financial crime during the coronavirus crisis. -
PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules
This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds. -
Insurance firms failing to consider value of the products and services provided to consumers
The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
FCA confirms recognition of the revised FX Global Code and the Global Precious Metals Code
Both these voluntary market codes have been written and are owned by the industry and reflect their views of best practice -
PS18/18: Industry Codes of Conduct and Discussion Paper on FCA principle 5
In this Policy Statement we respond to feedback arising from CP17/37 and publish handbook guidance regarding the FCA’s recognition of industry codes of conduct. Code authors will be able to seek recognition from 18 July 2018 when these this