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Showing 501 to 510 of 527 search results for Senior Managers Regime applications.

  1. FCA statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario

    Statements Published: 11/03/2019 Last modified: 24/11/2020
    This statement explains what Trade Repositories (TRs), and UK counterparties that use them, should do to make sure they are compliant with their EMIR reporting obligations after the UK leaves the EU.

  2. Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association

    Speeches Published: 25/02/2019 Last modified: 25/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association.

  3. Increasing transparency and engagement at renewal in general insurance markets: PS16/21

    Policy and guidance Published: 10/08/2016 Last modified: 07/03/2017
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/41 - Increasing transparency and engagement at renewal in general insurance markets - and confirm the final rules and non-Handbook guidance.

  4. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

    Press Releases Published: 12/07/2016 Last modified: 12/07/2016
    Implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability;. ... After taking over regulation of consumer credit in April 2014, successfully integrating over 25,000 firms into our

  5. Opening up and speaking out: diversity in financial services and the challenge to be met

    Speeches Published: 19/12/2018 Last modified: 19/12/2018
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Mitsubishi UFJ Financial Group, London.

  6. Levelling the playing field – innovation in the service of consumers and the market

    Speeches Published: 20/04/2021 Last modified: 20/04/2021
    Speech by our CEO, Nikhil Rathi, to FinTech Week.

  7. Building better bridges: a world-leading investment industry around outcomes customers need

    Speeches Published: 11/10/2019 Last modified: 11/10/2019
    Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes

  8. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Ex post Impact Evaluation Framework – Feedback Statement

    Feedback statements Published: 20/12/2018 Last modified: 20/12/2018
    This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them.

  10. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.
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