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Showing 341 to 350 of 366 search results for function under the Senior Managers Regime.
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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. -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets
Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024. -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Our approach to ensuring firms treat vulnerable customers fairly
Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference. -
Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns
On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
PS21/11: General insurance pricing practices - amendments
In May 2021, we published PS21/5 which set out our final rules to address the harm we had found in our GI Pricing Practices Market Study. On 18 August, we published PS21/11, making minor changes to these rules. -
Building better bridges: a world-leading investment industry around outcomes customers need
Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes