Search results
Showing 281 to 290 of 366 search results for function under the Senior Managers Regime.
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FCA sets out multi-occupancy leasehold insurance reforms
The FCA is proposing new rights and protections for leaseholders to improve the transparency of the multi-occupancy leasehold buildings insurance market. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
Park First Limited – information for investors
Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors. -
Information on Consumer Network and roundtable events - November 2021
The FCA responds to multiple questions on the FCA's Consumer Network. -
Towards end of the transition period: getting ready for a new environment
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK’s Regulatory Regime for Financial Services Summit. -
Information relating to individual approvals and complaints relating to authorisations - March 2021
The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations. -
From regulator to firm to consumer: a virtuous chain of events
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch. -
From intellectual certainty to debate
We are, as former Vanguard CEO John Bogle said, a long way from the ‘go-go years of the late 60s, when hot managers were treated like Hollywood stars’. ... The equity transparency regime will, in turn, be extended from shares, to other equity-like -
Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector. -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.