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Showing 521 to 527 of 527 search results for Senior Managers Regime applications.

  1. Consumer Duty implementation: good practice and areas for improvement

    Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
    What firms are doing well and what they could do better.

  2. What firms and customers can expect from the consumer duty and other regulatory reforms

    Speeches Published: 29/09/2022 Last modified: 29/09/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.

  3. The FCA asks for views on changes it plans to make to its rules and guidance as a result of the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements

    Press Releases Published: 12/11/2015 Last modified: 04/02/2016
    the procedure for switching ISA manager. In addition, if P2P platforms with ‘interim permission’ are able to offer IFISAs or become ISA managers, the FCA will consider whether further information should ... Having an interim permission ensures firms

  4. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  5. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and

  6. Review of TCFD-aligned disclosures by premium listed commercial companies

    Multi-firm reviews Published: 29/07/2022 Last modified: 05/08/2022
    Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations.

  7. General insurance product value and coronavirus (Covid-19) Guidance – update

    Studies and reviews Multi-firm reviews Published: 25/08/2021 Last modified: 25/08/2021
    We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance
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