Search results
Showing 231 to 240 of 366 search results for function under the Senior Managers Regime.
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The future of LIBOR
Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London. -
FCA consults on further climate-related disclosure rules
The FCA has published new proposals on climate-related disclosure rules for listed companies and certain regulated firms. -
Building better foundations in AI
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event. -
Firms falling short of renewal expectations
This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham. -
Investor engagement in a changing regulatory landscape
Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... Under ESMA’s final proposals, an investment manager can purchase -
Approved Persons Regime (APR) and coronavirus: our expectations - December 2020 update
In June 2020, we set out our expectations to help firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). We offered some additional flexibility in the application of rules to -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
The rapidity of change
Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version.