Search results
Showing 511 to 520 of 527 search results for Senior Managers Regime applications.
-
FCA consults on new rules for claims management firms to raise standards of conduct and protect consumers
We are consulting on new rules for claims management companies to raise standards of conduct. We will become the regulator of claims management companies (CMCs) on 1 April 2019. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Fair, transparent and competitive: the FCA’s vision for the asset management sector
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA decides to cancel payday lender’s interim permission and ban its sole director
FCA, there was no requirement for senior managers of consumer credit firms to be approved. ... Upon application for full authorisation, such individuals will need to become approved persons. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest
The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.